TRANSFORMATION TWENTY-ONE TOTAL TECHNOLOGY – NEXT

GENERATION (T4NG)

PERFORMANCE WORK STATEMENT (PWS)

DEPARTMENT OF VETERANS AFFAIRS (VA)

Veterans Benefits Administration (VBA)

File Conversion Services

Date: February 12, 2020

Task Order PWS Version Number: 1.0 DRAFT

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 Contents
1.0 Background .......................................................................................................................... 4
2.0 Applicable Documents.......................................................................................................... 5
3.0 Scope of Work...................................................................................................................... 7
3.1 Applicability .......................................................................................................................... 7
3.2 Order Type ........................................................................................................................... 7
4.0 Performance Details ............................................................................................................. 7
4.1 Performance Period ............................................................................................................. 7
4.2 Place of Performance ........................................................................................................... 7
4.3 Travel or Special Requirements ........................................................................................... 9
4.4 Contract Management .......................................................................................................... 9
4.5 Government Furnished Equipment (GFE)/Government Furnished Information (GFI) ........... 9
4.6 Security and Privacy............................................................................................................. 9
4.6.1 Position Sensitivity .......................................................................................................10
5.0 Specific Tasks and Deliverables ..........................................................................................12
5.1 Project Management ...........................................................................................................12
5.1.1 Contractor Project Management Plan ..........................................................................12
5.1.2 Technical Kickoff Meeting ............................................................................................13
5.1.3 Weekly/Monthly Update Meeting ..................................................................................13
5.1.4 Progress Reports and Reviews ....................................................................................14
5.1.5 Change Control Support ..............................................................................................15
5.1.6 Continuity of Operations Plan (COOP)/Disaster Recovery (DR) Plans .........................15
5.2 Source Material Receipt ......................................................................................................16
5.2.1 Source Materials Received with Document Control Sheets (DCS) and Manifests ........17
5.2.2 Source Materials Received without DCS or Manifests..................................................17
5.3 Source Material Custodial Requirements ............................................................................18
5.3.1 Source Material Handling .............................................................................................18
5.3.2 Source Material Tracking Service (SMTS) ...................................................................19
5.3.3 Exceptions Handling and Resolution ............................................................................20
5.4 Source Material Preparation ................................................................................................21
5.5 Source Material Conversion ................................................................................................22
5.5.1 Rescan Requests and Traceability ...............................................................................23
5.6 Indexing ..............................................................................................................................23
5.7 Post-Scan Imprint................................................................................................................23
5.8 Source Material De-Preparation (De-Prep)..........................................................................23
5.9 Upload Services ..................................................................................................................24
5.9.1 Upload Service to VBMS ..............................................................................................24
5.10 Post-Conversion Retention..................................................................................................25
5.11 Post-Conversion Transfer to Long-Term Storage ................................................................25
5.12 Post-Upload Metadata Transfer to Records Management Services (RMS) .........................26
5.13 Source Material Disposition (Optional Task) ........................................................................27
5.14 Graphical Self-Service Report Generation...........................................................................27
5.15 Integration/Setup/Test/Validation.........................................................................................36
5.15.1 Setup, Test, and Validation of File Conversion Services ..............................................37
5.15.2 Integration, Setup, Test, and Validation with VBMS .....................................................37
5.15.3 Integration, Setup, Test, and Validation with RMS Vendor System(s) ..........................38

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 5.15.4 Integration, Setup, Test and Validation with future RMS Vendor System(s) (Optional
Task)..................................................................................................................................38
5.16 Configuration Management Services ...................................................................................38
5.17 Service Updates ..................................................................................................................39
5.18 Training ...............................................................................................................................39
5.19 Transition of Historical Data ................................................................................................40
5.19.1 Transition-In .................................................................................................................40
5.19.2 Transition – Out ...........................................................................................................41
5.20 Data Access Service (DAS) (Optional Task) .......................................................................41
5.21 Source Material Extraction (Recurring Optional Task) .........................................................42
5.22 Blue Water Navy Deck Logs (Optional Task) ......................................................................43
5.22.1 Planning for Shipments from College Park ...................................................................44
5.22.2 Preparation of Materials for Shipping from College Park ..............................................44
5.22.3 Shipping of Materials to the File Conversion Services Facility ......................................45
5.22.4 Receipt of Materials at the File Conversion Services Facility........................................45
5.22.5 Material Preparation for Scanning ................................................................................45
5.22.6 Conversion of Materials ...............................................................................................45
5.22.7 De-Prep of Scanned Materials .....................................................................................45
5.22.8 Short-Term Storage of Materials ..................................................................................46
5.22.9 Data Extraction ............................................................................................................46
5.22.10 Data To PA&I ...............................................................................................................46
5.22.11 Quality Control .............................................................................................................46
5.22.12 Preparation for Shipping of Materials to College Park ..................................................46
5.22.13 Shipping of Materials to College Park ..........................................................................46
5.22.14 Receipt of Materials at College Park ............................................................................47
5.23 VBMS Document Retrieval and Bulk Data Extraction (Recurring Optional Task).................47
5.24 Option Periods ....................................................................................................................48
6.0 General Requirements ........................................................................................................48
6.1 Communicating with the Government ..................................................................................48
6.2 508 Compliance ..................................................................................................................48
6.3 Authentication Methods and requirements ..........................................................................48
6.4 Methods and Distribution of Deliverables ............................................................................48
6.5 Performance Metrics ...........................................................................................................49
6.6 Quality Control Plan ............................................................................................................50
6.7 Quality Assessment and Monitoring (QA&M) Support .........................................................51
6.8 VA Resource Space ............................................................................................................52
6.9 Site Visits/Inspections .........................................................................................................52
6.10 Service Level Agreement ....................................................................................................53
6.11 Outage/Degradation Notification..........................................................................................53
7.0 Performance Requirements Summary ................................................................................55

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1.0 Background

The fundamental mission of the Veterans Benefits Administration (VBA) is to provide

Veterans, service members, and their families the benefits they have earned through
their military service to the United States. VBA accomplishes its mission by delivering
client-centered, personalized services that help Veterans readjust to civilian life and
enhance their well-being.
The Department of Veterans Affairs (VA) continues to optimize the Veterans Benefits
Management System (VBMS), a paperless claims processing system that greatly
reduces the time required to establish, develop, decide, and pay claims. The system
replaces what was once a largely manual and paper-based process that had inherent
bottlenecks and inefficiencies that led to processing delays and errors. Ongoing
development of and continued enhancements to VBMS support VBA’s progression
towards an automated (or computer-assisted) processing environment.
Figure 1 depicts the existing end-to-end file intake and conversion services processes
deployed at each of two (2) conversion vendor locations. While the current conversion
process from, receipt through post-conversion storage, is executed by each of the
existing vendors’ conversion locations, specific internal procedures and systems utilized
are at the vendor’s discretion.

Quality
Quality
Control
Control Sample
Sample

Files
Files Received
Received
Prep
Prep

Indexing
Indexing //
Scanning Data
Data Extraction
Extraction
Scanning
VBMS
VBMS

Storage 1 Storage 2
Paper

OMPFs
OMPFs Received
Received

OMPFs De-Prep
De-Prep for
for Storage
Storage Shipping
Shipping
Pending
Pending Disposition
Disposition Storage Pending
Disposition

De-Prep
De-Prep for
for Return
Return
Shipping
Shipping
To
To NPRC
NPRC NPRC

Figure 1. File Conversion Service Process

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2.0 Applicable Documents

The following documents, in addition to the documents in Paragraph 2.0 in the Basic
T4NG PWS, are referenced for the performance of this effort:

1. NARA Facility Standards for Records Storage Facilities, 36 CFR, Part 1234,
Subpart B, dated July 1, 2011
2. Facility Standards for Records Storage Facilities Inspection Checklist
(Attachment C with Appendix B, Documentation of a Certified Fire-Safety
Detection and Suppression System) of 36 CFR, Part 1234, Subpart B, dated
July 1, 2011
3. U.S. Department of Veterans Affairs Records Control Schedule 10-1; dated
March 1, 2011
4. VA Handbook 0710, Personnel Suitability and Security Program, dated
September 10, 2004
5. VA Handbook 0730, Security and Law Enforcement, dated August 11, 2000
6. VA Handbook 0730/1, Security and Law Enforcement, dated August 20, 2004
7. Authorization Requirements Standard Operating Procedures (SOP) dated
February 4, 2019 (Attachment A)
8. Damage Incident Report (Attachment B)
9. DCS Job Aid, (Attachment C)
10. File Conversion Services Source Material Tracking Service (SMTS) BRD
(Attachment D)
11. VCIP Shipping Exceptions SOP (Attachment E)
12. Records Exception Resolution Guide (Attachment F)
13. VBMS PDF Specification Document, Release 17.1 dated August 2, 2019
(Attachment G)
14. Document Conversion Rules, effective October 1, 2015 (Attachment H)
15. Document Type Identification and Date of Receipt Guide (DTIDORG) 19-3 dated
August 23, 2019 (Attachment I)
16. Application Change Request 156 (ACR156) dated August 11, 2019
(Attachment J)
17. Memorandum of Understanding / Agreement between the Department of
Veterans Affairs, The Department of Defense, The United States Coast Guard,
and the National Archives and Records Administration: Temporary Loan of
Records from the National Archives and Records Administration to Veterans
Affairs for Document Conversion, which references the work related to Official
Military Personnel Files, dated October 24, 2014. (Attachment K)
18. VBMS Release 17.0 Web Services Startup Guide, dated April 26, 2019
(Attachment L)
19. VBMS Release 18.0 eFolder v1.0 Service Contract Document (SCD) dated
December 6, 2019 (Attachment M)
20. VA Handbook 6300.8, Section 5, dated January 12, 1998 (Attachment N)
21. VCIP Shipping SOP (Attachment O)
22. VBA Regional Office and VBA District Office Alignment Document (Attachment
P)

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23. Emergency Notification SOP, v1.0, dated September 3, 2019 (Attachment Q)
24. Scanning of NARA Deck Logs in Support of Blue Water Navy Business
Requirements Document, v.1.2, dated June 10, 2019 (Attachment R)
25. Records Center and Vault (RC&V) Business Requirements Document (BRD),
dated February 20, 2020 (Attachment S)
26. Pension Automation Data Extraction Business Requirements Document (BRD)
dated February 7, 2020 (Attachment T)

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3.0 Scope of Work
The Contractor shall perform file conversion services for VA. The Contractor shall
receive, control, and convert source materials to standardized, indexed, and searchable
PDF (PDF Image plus Text) electronic documents. The Contractor shall incorporate
quality assurance activities and validation into multiple steps of the conversion process
to ensure that VA receives images and data of sufficient quality to support its business
processes. The Contractor shall also support onsite Government-contracted third-party
auditing throughout the periods of performance.
VA anticipates that it will require document conversion services for source materials
equivalent to approximately 170 million images (split between 85 million images in the
base period and 85 million images in the option period, if exercised. VA may alter the
shipment of source materials to the Contractor over the period of performance. The
volume of source materials shipped to the Contractor for conversion will be dependent
primarily upon the following factors:
• VA’s ability to ship;
• Number of claims received from Veterans / claimants

VA will order a guaranteed minimum volume of 100 million images (50 million images in
the base period and 50 million images in the option period, if exercised. The maximum
volume of images that may be ordered is 350 million (175 million images in the base
period and option period, if exercised).
VA will notify the Contractor at least 30 calendar days before it anticipates modifying the
required monthly volume by up to 20 percent from the VA specified current monthly
volume, with notification at least 60 days in advance of any change of more than 20
percent.
For additional information characterizing the source materials and estimated effort
required to meet quality requirements, see Appendix C, Estimated Volume
Characteristics.
3.1 Applicability

This TO PWS is within the scope of Section 4.9, Operations and Maintenance, of the
Basic T4NGNG PWS.
3.2 Order Type

The effort shall be a hybrid Firm Fixed Price (FFP) type order.
4.0 Performance Details

4.1 Performance Period

The period of performance shall be 12 months from date of award, with one (1) 12-
month option, to be executed at the Government’s discretion.
4.2 Place of Performance

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Efforts under this TO shall be performed at Contractor and Government facilities. No
work shall be performed Outside Continental United States (OCONUS).
Within 60 calendar days of TO award, the Contractor shall have ready processing,
conversion, storage space and security processes consistent with applicable VA
security regulations including security requirements provided in VA Handbook 0730, VA
Handbook 0730/1, VA Handbook 0730/4, VA Handbook 6500, and the National
Archives and Records Administration (NARA) storage requirements of 36 CFR, Part
1234, Subpart B, with no exceptions made for the waivers discussed within 36 CFR,
Part 1234, Subpart B. While NARA certification is not required, the Contractor shall
maintain compliance with the referenced NARA requirements. The Contractor shall
provide a completed Facility Standards for Records Storage Facilities Inspection
Checklist (Appendix B of 36 CFR, Part 1234, Subpart B), and documentation of a
certified fire-safety detection and suppression system for each facility wherein source
materials are received, stored, or otherwise handled as part of the end-to-end
conversion process.
Within 30 calendar days of TO award, the Contractor shall have scheduled and jointly
conducted with VA or its agents, an audit to assess compliance with the NARA storage
requirements. The Contractor shall have also completed any remediation activities
required because of this audit within those 30 calendar days. The Government requires
annual review of facility and certification documentation to ensure compliance with
established regulations.
Contractor facilities not utilized to store physical source materials, either temporarily or
long term, are exempt from the Facility Standards for Records Storage Facilities
Inspection Checklist but are required to meet the remaining applicable security
regulations described in this section. Where an initially exempt facility is later
transitioned for the purpose of maintaining, storing, or handling VA physical source
materials, the Contractor, prior to introducing physical source materials into the facility,
shall (1) inform the Government of its intent; and (2) provide the Government with
evidence the facility is compliant with the referenced NARA requirements.
The Contractor shall store, maintain, and handle all source materials, and perform any
electronic processes supporting the end-to-end conversion process, within non-public,
controlled spaces, accessible only by authorized personnel who have had VA privacy
and security awareness training and proper background investigations. The Contractor
shall ensure security personnel closely monitor the facility. The Contractor shall limit
access to controlled spaces by use of approved physical access devices, lock and key,
or security alarms after hours. The Contractor shall maintain strict control of source
materials within its constructive custody. Contractor teleworking in support of the tasks
in this PWS is not authorized without prior written approval from the Contracting
Officer’s Representative (COR).
The Contractor shall provide VA or its agent with physical access to the source
materials at any time during normal operating hours. The Contractor shall allow VA or
its agent to perform oversight of storage conditions and operations at any time during
normal operating hours.
Deliverables:

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 A. Facility Standards for Records Storage Facilities Inspection Checklist
4.3 Travel or Special Requirements

The Government anticipates travel to perform the tasks associated with the effort, as
well as to attend program-related meetings or conferences throughout the period(s) of
performance. Travel shall be in accordance with FAR 31.205-46 and requires
concurrence in advance by the COR. Include all estimated travel costs in your firm-fixed
price line items. These costs will not be directly reimbursed by the Government.
The total estimated number of trips in support of the program related meetings for this
effort is two (2) three-day trips to Washington, DC (one (1) trip during each period of
performance for a total of two (2) trips.) The Government estimates that the Contractor
will include five (5) personnel for each trip. Anticipated locations include the following:
• Veterans Benefits Administration (VBA), 1800 G Street, NW, Washington, DC
20006

Travel is for the base period and the option period, if exercised.

4.4 Contract Management

All requirements of Sections 7.0, Contract Management and 8.0, Reporting and Meeting
Requirements, of the T4NG Basic PWS apply to this effort. This TO shall be addressed
in the Contractor’s Progress, Status, and Management Report as set forth in the T4NG
Basic contract.

4.5 Government Furnished Equipment (GFE)/Government Furnished

Information (GFI)

GFE is not required for the performance of this TO. The Government will provide printed
and handwritten source materials (including but not limited to paper and photographs)
as well as electronic format source materials (including but not limited to microfilm,
microfiche, CD/DVD, flash drives, and other alternative media) to be scanned, indexed,
and converted to searchable PDFs in the performance of this TO.
If required, the Government will provide VA network access, email addresses, and
access to specific applications necessary to perform the tasks in this PWS.
4.6 Security and Privacy

All requirements in Section 6.0, Security, of the T4NG Basic PWS apply to this effort.
Specific TO requirements relating to Addendum B, Section B4.0 paragraphs 10 and 11
supersede the corresponding T4NG Basic PWS paragraphs, and are as follows:

10. The Contractor shall notify VA within 24 hours of the discovery or disclosure
of successful exploits of the vulnerability which can compromise the
security of the Systems (including the confidentiality or integrity of its data
and operations, or the availability of the system). Such issues shall be

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 remediated as quickly as is practical, but in no event longer than one (1)
calendar day.

11. When the Security Fixes involve installing third party patches (such as
Microsoft OS patches or Adobe Acrobat), the vendor will provide written
notice to VA that the patch has been validated as not affecting the systems
within 10 working days. When the Contractor is responsible for operations
or maintenance of the Systems, they shall apply the Security Fixes within
one (1) calendar day.
Refer to the VA’s security requirements for transport from a post office box to the
Contractor’s site(s).
The Contractor shall provide support to VA in obtaining and maintaining an Authority to
Operate (ATO) or, if acceptable to the Government, an Interim Authority to Operate
(IATO) for the Contractor-managed information system supporting File Conversion
Services. For detailed Security and Privacy Requirements refer to Attachment A,
Authorization Requirements SOP and Addendums A and B of the T4NG PWS.
4.6.1 Position Sensitivity

Background Investigation (in accordance with Department of

Position
Veterans Affairs 0710 Handbook, “Personnel Suitability and Security
Sensitivity
Program,” Appendix A)
Tier 1/National Agency Check with Written Inquiries (NACI) A Tier
1/NACI is conducted by OPM and covers a five-year period. It consists
of a review of records contained in the OPM Security Investigations
Index (SII) and the DOD Defense Central Investigations Index (DCII),
Low/Tier 1
FBI name check, FBI fingerprint check, and written inquiries to
previous employers and references listed on the application for
employment. In VA it is used for Non-sensitive or Low Risk positions.

Tier 2/Moderate Background Investigation (MBI) A Tier 2/MBI is

conducted by OPM and covers a five-year period. It consists of a
review of National Agency Check (NAC) records [OPM Security
Investigations Index (SII), DOD Defense Central Investigations Index
(DCII), FBI name check, and a FBI fingerprint check], a credit report
Moderate / Tier 2
covering a period of five years, written inquiries to previous employers
and references listed on the application for employment; an interview
with the subject, law enforcement check; and a verification of the
educational degree.

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 Background Investigation (in accordance with Department of
Position
Veterans Affairs 0710 Handbook, “Personnel Suitability and Security
Sensitivity
Program,” Appendix A)
Tier 4/Background Investigation (BI) A Tier 4/BI is conducted by
OPM and covers a 10-year period. It consists of a review of National
Agency Check (NAC) records [OPM Security Investigations Index
(SII), DOD Defense Central Investigations Index (DCII), FBI name
check, and a FBI fingerprint check report], a credit report covering a
High / Tier 4
period of 10 years, written inquiries to previous employers and
references listed on the application for employment; an interview with
the subject, spouse, neighbors, supervisor, co-workers; court records,
law enforcement check, and a verification of the educational degree.

The position sensitivity and the level of background investigation commensurate with
the required level of access for the following tasks within the Performance Work
Statement are:

Position Sensitivity and Background Investigation

Requirements
Tier
Task Number Tier1/Low/NACI Tier 4/High/BI
2/Moderate/MBI
5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
5.9
5.10
5.11
5.12
5.13
5.14
5.15
5.16
5.17
5.18
5.19
5.20
5.21
5.22

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The Tasks identified above, and the resulting Position Sensitivity and Background
Investigation requirements identify, in effect, the Background Investigation requirements
for Contractor individuals, based upon the tasks the Contractor individual will be
working. The submitted Contractor Staff Roster must indicate the required Background
Investigation Level for each Contractor individual based upon the tasks the Contractor
individual will be working, in accordance with its submitted proposal.

5.0 Specific Tasks and Deliverables

The Contractor shall perform the following:

5.1 Project Management

The Contractor shall plan, monitor, and control the tasks outlined in this PWS. The
Contractor shall follow an accepted project management methodology such as the
Project Management Body of Knowledge (PMBOK).

5.1.1 Contractor Project Management Plan

The Contractor shall provide a detailed PMP and briefing summarizing the PMP content
for the Government following TO award. The briefing may be conducted virtually. The
PMP presents the Contractor’s plan for successfully completing all work described in
the contract. The PMP shall take the form of both a narrative and graphic form that
displays the schedule, milestones, risks, and resource support. The baseline PMP and
all subsequent updates shall be coordinated with VBA and approved by the COR. At a
minimum the following items shall be incorporated into the PMP:

• Change Control Plan

• Communications Plan
• Configuration Management Plan
• Integrated Master Schedule (IMS)
• Integration Plan
• Logistics Plan
• Quality Management Plan
• Requirements Management Plan
• Risk Management Plan
• Scalability Plan
• Service Rollout Plan
• Staffing Plan
• Stakeholder Management Plan
• Subcontractor Management Plan
• Technical/Management Plan
• Training Plan
• Work Breakdown Structure (WBS)
Deliverables:

A. Project Management Plan and Briefing

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5.1.2 Technical Kickoff Meeting

The Contractor shall coordinate and facilitate a technical kickoff meeting within 10
calendar days following TO award. In addition to the introduction of its contract
leadership team, the Contractor shall present, for review and approval by the
Government, the details of the intended approach, work plan, and project schedule for
each effort. The Contractor shall specify dates, locations (can be virtual), agenda (shall
be provided to all attendees at least five (5) calendar days prior to the meeting), and
meeting minutes (shall be provided to all attendees within one (1) calendar day
following the meeting). The Contractor shall invite the Contracting Officer (CO), Contract
Specialist (CS), Contracting Officer’s Representative (COR), and the Government
Program/Project Manager (PM).

Deliverables:

A. Kickoff Meeting Agenda, Meeting and Presentation, and Minutes

5.1.3 Weekly/Monthly Update Meeting

The Contractor’s PM shall participate in and facilitate weekly and monthly update
meetings. Weekly and monthly meetings shall be set up in advance, considering
availability of Government Program Management Office (PMO) staff, providing phone
dial-in and/or teleconferencing or web conferencing. An agenda shall be provided prior
to the meeting. The Contractor shall facilitate the meeting, track action items, describe
any risks associated with performance, schedule, or other concerns during this meeting,
and deliver meeting minutes following the meeting. Meeting minutes shall include
current statuses of all open issues and any upcoming service development and service
implementation activities.
The Contractor shall include, at minimum, the following topics:

• Risk register review with mitigation strategy and status

• Quality status/issues with resolution plan
• Service status/issues with resolution plan
• Staffing status/issues with resolution plan
• Schedule status/issues with resolution plan
• Performance status/issues with resolution plan (performance improvement
plan/remediation plan)
• Plans for coming weeks (including performance improvement plan/remediation
plan efforts)
• Authority to Operate (ATO)/Interim Authority to Operate (IATO) status/issues
with resolution plan
• All action items (status (pending, closed, other), duration, and resource
assignments)
• Contractor corporate/resource email distribution list with updates monthly
• Deliverable status

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The Contractor shall capture, track, and report action items and risks weekly. Capturing,
tracking, and reporting shall be electronic via a Government approved enterprise
change management, risk/issue tracking tool (e.g., Rational Jazz, JIRA, or similar). The
Contractor is not required to develop and implement a new tracking tool to satisfy this
requirement. Use of an existing solution is acceptable so long as the tool meets the
following minimum requirements and its use is approved by the Government PM:

• Action items and risks are organized and enumerated

• The tool displays the metadata related to each action item/risk

Access to the tool shall be granted to the Government PM and any other Government
resource(s) or agents of the Government identified by the Government PM. Access
includes the ability for Government resources to run reports as necessary to track action
items, risks, defects, etc.
Deliverables:

A. Weekly Update Meeting Agenda and Minutes

B. Monthly Update Meeting Agenda and Minutes
C. Action Item and Risk Register
5.1.4 Progress Reports and Reviews

In support of this TO VA requires reporting above and beyond the T4NG Monthly
Progress Reports at the T4NG basic contract level.

The Contractor shall deliver Monthly and Annual Progress Reports throughout the TO
performance period. The Monthly Progress Report shall include an out brief to the
Government PM. The content contained in the reports shall be representative of
performance requirements as outlined in the PWS. The Government will work with the
Contractor to develop the content for the reports to ensure relevant datasets are
accurately defined and captured. The Contractor shall maintain a lessons-learned diary
and deliver as a part of the Monthly Progress Report. Progress Reports shall include, at
minimum:

• Operational Report (budget, hiring (gain/loss report), etc.)

o Trends over time
• Productivity Report (process definition, equipment types, etc.)
o Trends over time
• Quality Report (metrics, measurement, maintenance procedures, etc.)
o Trends over time
o Performance issues with mitigation strategies
• Contractor Privacy and Security Training Report
• Contractor Staff Roster
• Deliverable Matrix (status of all PWS deliverables for the reporting period)

Deliverables:

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 A. Monthly Progress Reports
B. Annual Progress Reports
C. Contractor Staff Roster
D. Monthly Contractor Privacy and Security Training Report
5.1.5 Change Control Support
VBA will establish a Change Control Board (CCB) as part of the change control process
to adjudicate proposed change requests. VBA anticipates the CCB will conduct routine
meetings on a monthly basis. The Contractor shall participate in these CCB meetings
when requested by the Government and may do so on a virtual basis. The participation
shall include at least one representative with the authority to make commitments on
behalf of the Contractor. The Contractor shall support the CCB in assessing the level of
effort and the impact of proposed change requests.
VBA will manage the change control process. Proposed change requests may include
managing and implementing changes which may include but are not limited to:

• Service enhancements
• Shipping guidance
• Constructive custody
• Document Conversion Rules
• VBMS document taxonomy
• Indexing
• Document Type and Date of Receipt Guide
• Data extraction
• Disposition
• Interfaces with Government system(s)
• Interfaces with Records Management Services (RMS) Contractor system(s)
• Graphical Self-Service Report Generation (other than ad hoc reports)
5.1.6 Continuity of Operations Plan (COOP)/Disaster Recovery (DR) Plans
The Contractor shall develop, maintain, and test service continuity, contingency, and
disaster recovery plans for all services performed under this TO. In providing these
services, the Contractor shall:
• Prepare and deliver COOP and DR Plans to ensure the orderly recovery from a
disaster that may render all or part of a service facility, system, or equipment
inoperable
• Coordinate with interfacing systems to verify integration of procedures and
planning
• Develop measures to protect all services, equipment, and data for which the
Contractor is responsible from potential environmental threats
• Ensure services and equipment for which the Contractor is responsible are
operational and restore any lost capabilities and data after the occurrence of a
disaster
• Conduct and participate in semi-annual COOP/DR exercises
• Provide COOP/DR exercise results
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Deliverables:

A. Continuity of Operations (COOP) Plan

B. Disaster Recovery (DR) Plan
C. COOP/DR exercise results
5.2 Source Material Receipt
The contractor shall establish a series of intake services to support the receipt of source
materials in the form of benefit claims files, Official Military Personnel Files (OMPF),
Service Treatment Records (STR), or other business-related files from various VA
business lines. Source materials are predominately in paper form but can also include
CDs/DVDs/Microforms/etc. These files will generally be shipped from Government
facilities including VA regional offices, out-based offices, the National Archives and
Records Administration (NARA) National Personnel Records Center (NPRC), VA
Records Center and Vault (RC&V) storage facilities, and other Government locations
storing records that may be used in the adjudication of claims for VA benefits.
OMPFs are loaned to the VA by the National Archives and Records Administration
(NARA). VA will forward OMPFs from the VA Liaison Office (VALO) in St. Louis, MO to
the Contractor under a special agreement with NARA utilizing established processes
and methodologies. Once shipments begin, shipments may not be redirected to a
different facility without NARA approval. Moreover, the Contractor shall adhere to all
intake, processing, and conversion guidelines outlined in other sections of this PWS.
Additional special handling instructions exist for the conversion of OMPF documents
and are included in the DCRs.
The volume of OMPFs shipped to the Contractor will fluctuate and is directly related to
the number of claims established by ROs and the processing capabilities of VBMS;
however, the VA does not anticipate shipping more 1,300 OMPFs, comprised of varying
volumes of alternate media and paper source material.
The Government will direct shipments to a Contractor location agreed upon by the
Government and the Contractor. Where the Contractor utilizes multiple facilities for the
conversion of source materials, and determines work should be moved between
facilities, the Contractor shall be responsible for re-routing work while still meeting the
Service Level Agreement (SLA) for turnaround time (TAT). Any Contractor-initiated
inter-facility shipments shall be at no cost to the Government. Time spent re-routing
work will not be excluded from turnaround time calculations.
The contractor shall take receipt of all deliveries of physical materials on the same day
as delivered. This receipt shall constitute the acceptance of the materials and liability for
source material management by the contractor, including complete end-to-end
traceability. The Contractor shall receive source material daily with fewer than three (3)
calendar days of disruption within a 365-day period. The Contractor shall establish
facilities, equipment, processes, and personnel to meet this requirement. This
requirement applies to all disruptions for which VA is not responsible. VA will not
consider failure to operate on Federal Holidays as a disruption. Due to the sensitive
nature of the content, the Contractor shall take receipt of materials shipped by VA
during the delivery periods of VA’s national contract carrier, which is currently United

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Parcel Service (UPS). In addition, the Contractor shall take receipt of materials shipped
by alternative carriers utilized by VA entities outside of the Continental United States,
where UPS may not be available or utilized. Any changes to VA’s national carrier will be
communicated to the Contractor by the Contracting Officer.
The Government anticipates the volume of source materials received by the Contractor
will vary by day, week, and month. The Government will collaborate with the Contractor
to mitigate the impact of this variation to the extent that it does not impact Government
business operations.
The Government anticipates the Contractor will occasionally receive damaged source
material shipments. Damage may result from water or other liquids, box crushing during
shipment, or another unforeseen event. Damage may result in exposure of sensitive
Veteran information.
The Contractor shall replace any boxes damaged during shipment where damage
represents potential access to or loss of VA assets or sensitive information. The
Contractor shall notify the COR and VA PM immediately, via email and phone, upon
occurrence, detailing the damage and the specific source material(s) damaged.
Within one (1) calendar day of a damage incident, the Contractor shall replace
damaged boxes and complete and submit to the COR a Damage Incident Report as
provided in Attachment B. The Contractor shall also photograph any box for which a
Damage Incident Report is completed. Photographs shall not include any sensitive
information. The photograph shall accompany the Damage Incident Report submitted to
the COR.
Replacement boxes shall be consistent with the damaged box, which generally are
boxes with National Stock Number (NSN) 8115-00-117-8249.
5.2.1 Source Materials Received with Document Control Sheets (DCS) and
Manifests

Source materials from the Government will generally include a manifest and associated
DCSs. The DCS is a Government-generated sheet affixed to a paper claims folder or
other file for conversion. The DCS includes the following information:
• Veteran First Name
• Veteran Last Name
• Veteran Middle Initial
• Veteran File Number
• RMN (associated with the container of source material in which the DCS is
contained)
• Document Control Sheet ID (a 14 letter/number unique identifier)
• Participant ID (a VA-assigned unique identifier for the Veteran)

The manifest provides a listing of each DCS within a shipment.

5.2.2 Source Materials Received without DCS or Manifests

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Source materials from the Government may also be received without a DCS or a
manifest. When received, the Contractor shall create DCSs and manifest using VA
systems. The Contractor shall only access the required functionality in the VA systems
needed to complete the work of this task; no other information or processing may be
accessed.
The Contractor shall use VBMS to generate and print Document Control Sheets (DCS)
(attached to each individual files or other source materials) and VBMS Manifests
(providing a listing of each DCS within a box). The Contractor shall consult Attachment
C, DCS Job Aid, to create a DCS for each file being shipped. Only one DCS is needed
per file (including files with multiple folder volumes, with the exception of files with
volumes that must be split across multiple boxes). The Contractor shall secure the DCS
to the front of the top volume of the. DCSs/Manifests shall be created and affixed within
one (1) day following receipt of shipment from the Government.
Following creation of DCSs/Manifests, the Contractor shall initiate tracking of source
materials in accordance with the Contractors’ Source Material Tracking Service.
5.3 Source Material Custodial Requirements

5.3.1 Source Material Handling

Source materials contain Veterans’ claims, including personally identifiable information

(PII), protected health information (PHI), and sensitive personal information (SPI), and
shall be treated as sensitive information in accordance with the Basic T4NG PWS. The
Contractor shall ensure that source materials and the VA information they contain are
not damaged and/or compromised in any fashion from the point of receipt through
storage awaiting disposition. While in possession of source materials, the Contractor
shall comply with all established VA security policies to ensure VA data, whether
captured electronically or as paper or other source materials, are not compromised.
Throughout the conversion process, the Contractor shall securely handle sensitive
information, manage conversion in accordance with published Document Conversion
Rules (DCR) without loss or damage to source material, and work collaboratively with
the Government to support efficient processing of variable document conversion
production rates.
The Contractor shall have a documented process for physical inventory management
and tracking of all source materials while in the Contractor’s possession.
Unless otherwise directed by the Government, the Contractor shall maintain the
physical arrangement (e.g., order of materials) of source materials until conversion is
complete. Following conversion, the Contractor shall de-prep source materials in
accordance with the Document Conversion Rules.
The Government anticipates the contractor will occasionally receive sensitive, fragile,
damaged and potentially hazardous materials. Examples include source materials
damaged by water resulting in the presence of mold, or source materials exposed to
extreme levels of heat altering the material to a brittle state. The contractor shall
develop and implement a set of handling and preservation processes for these
materials and shall coordinate with the COR each instance where such materials are

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encountered. The Contractor shall develop a Standard Operating Procedures document
detailing the processes that could be implemented based on the condition of the source
materials.
The Contractor shall minimize the risk that mail is damaged during conversion. If mail is
fragile or likely to be damaged when scanned, the Contractor shall propose, and the
Government approve, efficient and effective methodologies for the preservation of
material throughout the conversion and subsequent de-prep processes.
Deliverables:
A. Sensitive/Fragile/Hazardous Materials Handling and Preservation SOP
5.3.2 Source Material Tracking Service (SMTS)
As part of the Contractor’s File Conversion Services, the Contractor shall develop,
implement, and operate an SMTS with a configurable user interface accessible by VA
authorized users to track and maintain a chain of custody for all physical source
materials received and all historic source materials processed by existing Contractors.
The SMTS shall include all capabilities as defined in Attachment D, Source Material
Tracking Services BRD. The SMTS will account for all receipts from all sources. The
SMTS shall ensure that all data transfers into and out from the Contractor services are
reconciled on a daily basis and that acknowledgements related to such transfers are
continuously monitored in an automated manner. Any transaction acknowledgement
that is not received or transmitted within 24 hours shall trigger an automated audit for
resolution.
The SMTS shall provide authorized users the capability to access and monitor all
source materials in all stages of processing. The service shall receive historical tracking
data from existing ICMHS conversion Contractors in support of Task 5.19, Transition of
Historical Data. Specific historic data sources include:

• Existing ICMHS Contractors’ SMTS non-mail receipts

• Historical receipts contained in the existing ICMHS Contractors’ SMTS that
originated from the prior contracts identified as Document Conversion Services
vendors
A VA compliant “Single-Sign On” approach shall be applied allowing authorized VA
users to log on once per session utilizing a single set of credentials to access all
authorized facets of the File Conversion Services SMTS. All appropriate VA security
policies and procedures shall be followed (which includes multi-factor authentication via
Personal Identity Verification (PIV) badges or another VA compliant multifactor
authentication methodology).
Within 60 calendar days of TO award and prior to the operational receipt of source
materials, the Contractor’s SMTS shall be set up, tested and validated per PWS Task
5.15, Integration, Setup, Test, and Validation. Although the Contractor has the
responsibility for account provisioning, the service shall include a self-service capability
for VA and other Contractor personnel to request access and manage user accounts,
including access control. The service shall log changes to user account information and

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disable any unutilized accounts after 90 calendar days of inactivity. Upon approval by
authorized VA representative(s), the Contractor shall grant the access (establish the
account).
Any planned periods of unavailability due to routine releases shall be approved by the
COR at least 10 calendar days in advance. Any planned service periods of unavailability
due to non-routine release requires prior approval. Any service periods of unavailability
due to emergent issues shall be communicated to the COR in accordance with Section
6.11, Outage/Degradation Notification. Unplanned or unapproved downtimes that are
the result of the Contractor will count against the Contractor’s performance evaluation.
Downtimes not the result of the Contractor will not count against the Contractor’s
performance evaluation. VA will assess each downtime and make the final
determination.
Deliverables:
A. Source Material Tracking Service with Configurable User Interface
5.3.2.1 SMTS User Administration
The SMTS shall provide for the addition of named users and the general administration
of users, roles, and permissions within the service. The service shall authenticate all
authorized VA personnel in accordance with VA Common Security Services guidelines.
Role permissions and functional assignments are a feature specific to a user’s
assignment within a “user” hierarchy structure. In coordination with VA, the Contractor
shall maintain a user hierarchy and develop, deliver, and maintain a Policy Definition
Table. An initial set of required user roles are detailed in Attachment D, File Conversion
SMTS BRD. The Contractor shall also develop and deliver to the Government a process
for requesting users, roles, and permission administration.
Deliverables:
A. Process for requesting users, roles, and permission administration
B. Completed Policy Definitions, Permission, and User Table

5.3.3 Exceptions Handling and Resolution

5.3.3.1 Shipping Exceptions Handling and Resolution
Shipments may arrive with issues that prevent processing due to the inability to
reconcile the container contents with manifests (hereafter, termed “shipping
exceptions”). Shipping Exceptions are not to be confused with Records Exceptions.
When shipments to the Contractor are made using VBMS Document Control Sheets
and Manifests, and a shipping exception is encountered, the Contractor shall make all
possible efforts to resolve such exceptions in accordance with the DCRs and
Attachment E, VCIP Shipping Exceptions SOP. When necessary, the contractor shall
prepare VBMS DCSs and Manifests using VA systems to correct such shipping
exceptions once all issues are identified. Shipping Exceptions that cannot be resolved
on-site shall be directed to the Government PM/COR for resolution.

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The contractor’s SMTS shall track all Shipping Exceptions, providing authorized
personnel with the capability to view and triage shipping exceptions and to submit
resolutions and inquiries to the contractor.
In the unlikely event that resolution requires return shipment of the source material, the
return shipment may only be directed by the Government COR. Any returned source
materials shall include a standardized notice explaining that the material relates to a
shipping exception and has not been converted. The notice shall identify the source
RMN (whether VBMS generated or not), Shipping Carrier ID, and Contractor assigned
identifiers. The Contractor shall charge VA the actual shipping costs (cost without
markup) for these shipments. The contractor shall provide VA with invoices for return
shipping of shipping exceptions monthly with its invoices.
5.3.3.2 Records Exceptions Handling and Resolution
Shipments may also arrive with Veteran records issues that prevent processing
(hereafter, termed “records exceptions”). Records exceptions will generally include:

• Veteran not found in VA system Beneficiary Identification and Records Locator

System (BIRLS)
• Veteran not found in VA systems Control of Veterans Records System
(COVERS)
• Veteran records are restricted

The contractor’s SMTS shall track all records exceptions, providing authorized
personnel with the capability to view and triage exceptions.

The contractor shall make all possible efforts to resolve records exceptions on-site in
accordance with the DCRs and Attachment F, Records Exception Resolution Guide.

5.4 Source Material Preparation

Source materials will be double-sided, irregularly-sized, folded, and/or stapled

documents. A file may consist of one or more bi-fold or tri-fold folders. Source materials
may also be printed on different types of paper requiring special handling, including
onionskin paper.
The Contractor may receive source materials which include alternative media including
microfiche, CDs/DVDs, or unscannable media types as defined in the DCRs. VA
estimates that less than one (1) percent of all source material will be unscannable. If the
source material cannot be scanned, the Contractor shall use the Unscannable
Document process outlined in the DCRs. The Contractor shall place the unscannable
material, along with any printed-paper copy of the material, back into the file.
The Contractor shall prepare source materials for conversion in accordance with the
Document Conversion Rules. The Contractor shall enhance badly faded source
materials in order to achieve the best readable image. The Contractor shall refer to the
special handling rules in the DCRs in the event that it receives source material that is
damaged or fragile such that further processing risks destruction of the record and/or if
the condition prevents conversion to a readable image through normal processes.
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VA anticipates that photographs and irregularly sized materials will comprise one (1)
percent of the total volume of source materials to be converted. Irregularly sized source
materials will also comprise less than one (1) percent of the total volume of source
materials. Alternate media will also be encountered within the source materials. It is
estimated that approximately 18% of all OMPF images are generated from microfiche
and approximately 3% of all non-OMPF images are generated from other alternate
media.
The Contractor shall convert photos, irregularly sized source materials, and alternate
media in accordance with the DCRs.
Source material may include items not to be scanned such as catalogs, US currency,
and Passports. The items not to be scanned shall be handled in accordance with the
Document Conversion Rules.
5.5 Source Material Conversion

The Contractor shall comply with the DCRs for all conversion. In keeping with NARA
standards, the Contractor shall convert source material to images with a minimum
resolution of 300 dots per inch (DPI). In exceptional cases where material includes
microfilm or microfiche which, in their original state, were captured at a lower resolution,
the Contractor may, where the source material is of lesser resolution (<300 dpi) and
efforts to increase the dpi to meet the 300 dpi standard renders an unreadable/unusable
image (e.g., too small for viewing or decreased legibility) retain the lesser quality image
to ensure Government end users have a sufficient image for review.
The Contractor shall convert all source materials to searchable PDFs. The Contractor
shall utilize Attachment G, VBMS PDF Specification Document. The Contractor shall
create one (1) image for each side of each page of source material converted. The
Contractor shall delete blank images generated from blank sides of paper and delete
images that include only bleed-through data. The Contractor shall deploy and manage a
Government-approved process to ensure all images marked for deletion are sufficiently
reviewed to ensure no loss of data and that all images marked for deletion are available
for review by government personnel. The Government estimate assumes 1.1 resulting
images for each page of paper converted will contain usable data; 0.9 resulting images
for each page of paper converted will be blank. In other words, 100 pages will yield 200
images, of which 110 images will contain usable data and shall be retained and
uploaded; 90 images will be blank and shall be deleted.
The Contractor shall apply a post-scan imprint to source materials providing verification
of conversion. The Contractor shall propose placement of the post-scan imprinting
unless regulatory requirements dictate specific style and placement. The application of
the imprint shall be made inline via the scanning equipment and not by a separate,
stand-alone imprint system. Specific guidance on placement of the imprint and any
other required indicators for items such as alternate media are provided in the DCRs.
Some materials, by virtue of their original condition, will not scan clearly. If after applying
industry best practices, including leveraging technology, material does not convert
clearly or legibly, or is otherwise unclear, the Contractor shall label resulting image(s)

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“Best Copy” as described in the DCRs. The guidance on specific placement of the “Best
Copy” label is also defined in the DCRs.
The Contractor shall convert photographs and ensure resulting images are visible and
interpretable to the fullest extent.
The Contractor shall convert the following document types in color regardless of the
presence or lack of color:
• Photographs
• DD214s and DD215s
5.5.1 Rescan Requests and Traceability

The Government estimates that the File Conversion Contractor will receive an average
of 5-10 requests for rescans per week (20-40 per month) resulting from materials that
either did not retain their conversion properties during upload; or, for missing images in
when compared to the original source material. Rescan requests will be initiated and
monitored utilizing the SMTS. The contractor shall complete approved rescan requests,
including upload to VBMS, within five (5) calendar days from the day the request is
approved in SMTS.
5.6 Indexing
In accordance with the Attachment H, Document Conversion Rules, and its
accompanying Attachment I, Document Type and Date of Receipt Guide, and
Attachment J, Application Change Request 156 (ACR156), the Contractor shall assign
the following four index values for each converted document:
• Veteran Name
• VA File Number
• Document Type
• Date of Receipt
Existing files, OMPFs, and other source materials anticipated to be received by the
Contactor will typically include the Veterans name and file number on a label/barcoded
label affixed to the outside of the file. Occasionally, this information will be handwritten
where a label/barcoded label was misplaced or was not originally used. As noted
previously, where DCSs are used, both files and OMPFs will include the VA File
Number and Claimant Name via barcode on the accompanying DCS.
5.7 Post-Scan Imprint
The contractor shall apply a post-scan imprint to physical source materials providing
verification of conversion. The contractor shall propose placement of the post-scan
imprinting unless regulatory requirements dictate specific style and placement. The
application of the imprint shall be made inline via the scanning equipment and not via a
separate, stand-alone imprint system. Specific guidance on placement of the imprint
and any other required indicators for non-paper source materials are provided in the
Business Rules.
5.8 Source Material De-Preparation (De-Prep)

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Following document conversion activities, the Contractor shall prepare source materials,
other than OMPF source materials, for storage awaiting disposition such that the
contents of the original shipping container either remain together or can be reassembled
upon request. The contents of each folder or group of loose materials processed
through the scanning operation are not required to be retained in the same configuration
(order or location within a folder) in which it was received. However, all source material
in a folder or loose packet shall retain their identity as a collection of material.
Any folders received, other than OMPF source materials, which contain an original (not
a copy) Service Treatment Record (STR) shall be de-prepped following conversion such
that the original STR is separated from the folder and stored with other original STRs.
The STRs shall be returned to the STR envelope from which they were received or
placed back onto prongs if received in a pronged STR folder as described in the
Document Conversion Rules.
The Contractor shall develop internal identification and tracking procedures to associate
the sorted STR materials to the file from which the STR was separated. Sorted STRs
shall be included on a manifest along with the referenced box from which each was
removed. An exception to this process exists where a shipment contains only original
STRs. These shipments, if contained within a standard VA shipping box with an
assigned Records Management Number (RMN), shall remain in the original container
and stored alongside other boxes of sorted original STRs. The removal and emptying of
a Government box containing only original STRs, placement of those original STRs into
a Contractor box, and the subsequent storage of both the Contractor box and the
original Government packed STR box shall not be permitted. Where the Contractor
assigns an internally generated tracking number to sorted original STR boxes, the
Contractor is permitted to apply a tracking number to the Government packed STR box,
ensuring that the Government generated RMN remains visible. Any internal tracking
system utilized shall reflect the appropriate Contractor generated tracking number and
Government generated RMN as the same box.
Following the conversion process, the Contractor shall re-assemble OMPFs in the exact
order received. OMPFs shall be returned to VA within five (5) calendar days of initial
receipt. Additionally, the Contractor shall adhere to all special security and handling
requirements identified in the DCRs and by NARA as outlined in Attachment K,
Memorandum of Understanding/Agreement between the Department of Veterans
Affairs, The Department of Defense, The United States Coast Guard, and the National
Archives and Records Administration: Temporary Loan of Records from the National
Archives and Records Administration to Veterans Affairs for Document Conversion.
5.9 Upload Services
5.9.1 Upload Service to VBMS
The Contractor shall deliver images with associated indices to the Government in
accordance with Attachment L, VBMS Release 17.0 Web Services Startup Guide, and
Attachment M, VBMS Release 18.0 eFolder v1.0 Service Contract Document, which
describe the transactional web service that transfers data at the document level each
time the service is called. VA defines “delivery” as the upload of data to the upload
service and confirmation from that service that the transaction was successful.

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The upload of images, indices, and metadata resulting from the conversion activities for
all source materials shall be completed within five (5) calendar days following receipt of
source materials. The Contractor shall, daily, reattempt upload of any failures to upload
presented to end users for resolution via the SMTS.
5.10 Post-Conversion Retention
The Contractor shall have adequate space onsite to receive and store source materials
throughout all conversion activities. During the first 120 calendar days following the
initiation of scanning operations, or until directed otherwise by the Government, the
Contractor shall retain source materials, images, and image metadata for 60 calendar
days following confirmation of successful upload to VBMS. Storage of source materials,
images, and image metadata beyond the required 60 calendar days shall be at the
Contractor’s expense. At the conclusion of the required 60 calendar day retention
period, the Contractor shall ship source materials to VA’s Records Management
Services vendor for storage awaiting disposition.
The Government estimates five (5) requests monthly requiring source materials to be
recalled from post-conversion storage and shipped to the Government. In each case,
the Government will include instructions related to where recalled source materials are
to be sent. The Contractor shall ship requested source materials within two (2) calendar
days of receipt of the request. Unless directed otherwise, the Contractor shall ship a
container of recalled source material in its entirety when responding to a request from
the Government. Upon return of the source materials to the Contractor by VA, the
Contractor shall return source materials to the post-conversion storage awaiting transfer
to the RMS Vendor. If the 60-calendar day retention period has expired, the Contractor
shall transfer the source materials to the VA’s Records Management Services vendor
for storage awaiting disposition. The Contractor shall establish standardized procedures
to accomplish these actions.
The Contractor shall also ship all requested source materials to a site or sites
designated by VA without expectation of return shipping or re-filing under any of the
following two conditions:
1. VA requests permanent relocation of the materials
2. The base period or an exercised option period expires
The Contractor shall ensure the shipping method proposed adheres to security
measures comparable to VA’s current national contract carrier for shipping. The
Contractor shall package documents for shipment in accordance with Attachment N, VA
Handbook 6300.8, Section 5 and Attachment O, VCIP Shipping SOP. The Contractor
shall include a manifest within, but not on, the exterior of its shipping package.
5.11 Post-Conversion Transfer to Long-Term Storage
After the required retention period described in Task 5.10, the Contractor shall ship
source materials to the Government’s Records Management Services vendor for
storage awaiting disposition. Shipping shall be in accordance with Attachment O, VCIP
Shipping SOP.
It is anticipated that VBA’s RMS contracts will expire during the performance of this TO.
This may result in the awarding of additional long-term storage services to vendors
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other than the incumbent vendors. Where new vendors are awarded, the Contractor
shall initiate post-conversion transfer of source materials to the new RMS Vendor(s).
The Government will provide as much advanced notice as possible related to any shift
in RMS Vendors. Upon notice from the Government, the Contractor shall commence
preparations for the transition to new RMS Vendors.
The Government will notify the Contractor in advance of its intent to exercise this
optional task. The Government will provide an updated business requirements
document (or its equivalent) and applicable ICDs.
5.12 Post-Upload Metadata Transfer to Records Management Services (RMS)
The Contractor shall transmit post-upload electronic meta-data to the RMS Vendor on a
daily basis.
In addition to the total number of records, the metadata transmitted to the RMS Vendor
shall include the following fields on a per box basis:
• Conversion Vendor ID
• Conversion Vendor-generated box identification number
• Date of transfer to RMS
• Box Source (VARO, Line of Business (LoB), etc.)
• Veteran names associated with each box
• Veteran file numbers associated with each box
• Content Description (e.g., Files, STRs, Alternate Media, Other)

The Contractor will receive electronic acknowledgement from the RMS Vendor
confirming the total number of records received. If the total number of records
acknowledged does not match the records transmitted, the Contractor shall work with
the RMS Vendor to resolve the discrepancy and/or retransmit the meta-data as
required. On a weekly basis the Contractor shall collaborate with the RMS Vendor to
reconcile meta-data to ensure accuracy of all data elements transmitted and received.
Confirmation shall be provided to the File Conversion Services TO COR that the
reconciliation is complete.
The Contractor shall ensure any planned or unplanned outages of its ability to transmit
meta-data are communicated via email to the RMS Vendor and the Contractor’s COR
as soon as they are identified.
The Contractor shall provide all labor, materials, equipment, supplies, and supervision
necessary to operate the meta-data transmission and reconciliation functions.
The Contractor shall collaborate with the Government and RMS Vendor in the
Government’s development of a Memorandum of Understanding (MOU) to memorialize
the agreement regarding the development, management, operation, and security of a
connection between external integrated systems owned by each vendor residing
outside of the VA network. The MOU will document the terms and conditions for sharing
data and information resources in a secure manner; define the purpose of the
interconnection; identify relative authorities; and specify the responsibilities of the
participating organizations.

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It is anticipated that VBA’s RMS contracts will expire during the performance of this TO.
This may result in the awarding of additional long-term storage services to vendors
other than the incumbent vendors. The Government will provide as much advanced
notice as possible related to any shift in RMS Vendors. Upon notice from the
Government, the Contractor shall commence preparations for initiating post-upload
metadata transfer to the new RMS Vendor(s).
5.13 Source Material Disposition (Optional Task)
For the purposes of this PWS, VA considers disposition as a process to dispose of
source materials in accordance with VBA’s approved System of Record and Records
Control Schedule (RCS). VBA requires document disposition services for converted
source material after successful electronic upload into VBMS. While VA source material
disposition guidance has not yet been finalized, the Contractor shall, for planning
purposes, consider destruction activities as the primary means for disposition.
Upon receipt of an official VBA decision, the Contracting Officer will notify the
Contractor of its intent to exercise this optional task. This notice will provide the
Contractor additional disposition instructions and the timeline for the execution of these
tasks. The Contractor shall provide its plan within 30 calendar days upon receipt of this
notice.
It is the Government’s intent to exercise the disposition optional task in both the RMS
contract and each of the File Conversion TO simultaneously. This strategy will require
discontinuance of shipments of converted source materials to the RMS storage
facility(ies) at a time to be determined in the approved plan. From that point forward, the
Contractor and the RMS Vendor(s) will begin disposition activities in accordance with
their approved plans.
5.14 Graphical Self-Service Report Generation
VA uses a variety of reports to support business decisions, review workflow
performance, and to monitor the receipt, status, and tracking of all source material.
Reports are used to inform executives and monitor source material volumes. Reports
provide metrics that allow authorized VA business users, system administrators and
leadership to view data necessary to apply appropriate Contractor workload
considerations to respond effectively and efficiently to pending Veteran claims. The
ability to rapidly determine the volume of source material at the Line of Business,
National, District, RO level is invaluable in determining how best to align resources and
actively assist Veterans in managing and deciding their claims.
The Contractor shall provide for a business intelligence engine supporting report
generation accessible by authorized users, including agents of the Government. The
Contractor shall expose their raw, real-time data to authorized users to support the
generation of real-time reports as needed.
The Government is providing a basic description for the below list of each required
predefined report, its purpose, and the minimum data elements for each based on
existing conversion reporting activities. The Contractor shall utilize this information as a
baseline for making available all required data elements.

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At minimum, the data elements shall support VA’s creation of the following predefined
reports:
• National Production Report
• Turnaround Time Report (VA and Contractor)
• Document Type Frequency Report (Summary and by Source)
• Source Material Tracking Report
National Production Report: The National Production Report provides counts on
intake and conversion operations at any conversion location. The Contractor’s solution
shall include the capability to create the National Production Report at the National
(VBA), VBA District Office, RO levels, and for specific Lines of Business. Regardless of
the level of reporting, the report shall include only those offices aligned to the requesting
level. The Contractor shall utilize Attachment P, VBA RO and VBA District Office
Alignment Document, when developing access to the data for this report.
The Contractor’s solution shall support the creation of a National Production Report and
include at minimum the following data elements:
• Valid “as of” Date
• Date Range
• RMNs Received (Actual/Average)
o RMNs Received from Regional Offices
▪ RMNs Received from Regional Offices to Date
▪ RMNs Received from Regional Offices - Yearly, Monthly, Last 20,
10, 5 Business Days
▪ RMNs Received from Regional Offices – Current Month
o RMNs Received From BVA
▪ RMNs Received from BVA to Date
▪ RMNs Received from BVA - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMNs Received from BVA – Current Month
o RMNs Received from PMCs
▪ RMNs Received from PMCs to Date
▪ RMNs Received from PMCs - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMNs Received from PMCs – Current Month
• RMN Exceptions (Actual/Average)
o RMN Exceptions from Regional Offices
▪ RMN Exceptions from Regional Offices to Date
▪ RMN Exceptions from Regional Offices - Yearly, Monthly, Last 20,
10, 5 Business Days
▪ RMN Exceptions from Regional Offices – Current Month
o RMN Exceptions From BVA
▪ RMN Exceptions from BVA to Date
▪ RMN Exceptions from BVA - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMN Exceptions from BVA – Current Month

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 o RMN Exceptions From PMC
▪ RMN Exceptions from PMC to Date
▪ RMN Exceptions from PMC - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMN Exceptions from PMC – Current Month
• RMN Exceptions Unresolved (Actual/Average)
o RMN Exceptions Unresolved - Regional Offices
▪ RMN Exceptions Unresolved Regional Offices to Date
▪ RMN Exceptions Unresolved - Regional Offices - Yearly, Monthly,
Last 20, 10, 5 Business Days
▪ RMN Exceptions Unresolved - Regional Offices – Current Month
o RMN Exceptions Unresolved - BVA
▪ RMN Exceptions Unresolved - BVA to Date
▪ RMN Exceptions Unresolved - BVA - Yearly, Monthly, Last 20, 10,
5 Business Days
▪ RMN Exceptions Unresolved – BVA - Current Month
o RMN Exceptions Unresolved - PMC
▪ RMN Exceptions Unresolved - PMC to Date
▪ RMN Exceptions Unresolved - PMC - Yearly, Monthly, Last 20, 10,
5 Business Days
▪ RMN Exceptions Unresolved – PMC - Current Month
• RMN Exceptions Resolved (Actual/Average)
o RMN Exceptions Resolved - Regional Offices
▪ RMN Exceptions Resolved - Regional Offices to Date
▪ RMN Exceptions Resolved - Regional Offices - Yearly, Monthly,
Last 20, 10, 5 Business Days
▪ RMN Exceptions Resolved - Regional Offices – Current Month
o RMN Exceptions Resolved - BVA
▪ RMN Exceptions Resolved - BVA to Date
▪ RMN Exceptions Resolved - BVA - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMN Exceptions Resolved – BVA - Current Month
o RMN Exceptions Resolved - PMC
▪ RMN Exceptions Resolved - PMC to Date
▪ RMN Exceptions Resolved - PMC - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMN Exceptions Resolved – PMC - Current Month
• RMNs Converted (Actual/Average)
o RMNs Converted from Regional Offices
▪ RMNs Converted from Regional Offices to Date
▪ RMNs Converted from Regional Offices - Yearly, Monthly, Last 20,
10, 5 Business Days
▪ RMNs Converted from Regional Offices – Current Month
o RMNs Received Converted From BVA
▪ RMNs Received Converted from BVA to Date

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 ▪ RMNs Converted from BVA - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMNs Converted from BVA – Current Month
o RMNs Converted from PMCs
▪ RMNs Converted from PMCs to Date
▪ RMNs Converted from PMCs - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMNs Converted from PMCs – Current Month
• RMNs Uploaded to VBMS (Actual/Average)
o RMNs Uploaded - Regional Offices
▪ RMNs Uploaded - Regional Offices to Date
▪ RMNs Uploaded - Regional Offices - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMNs Uploaded - Regional Offices – Current Month
o RMNs Uploaded - BVA
▪ RMNs Uploaded – BVA to Date
▪ RMNs Uploaded - BVA - Yearly, Monthly, Last 20, 10, 5 Business
Days
▪ RMNs Uploaded - BVA – Current Month
o RMNs Uploaded - PMCs
▪ RMNs Uploaded – PMCs to Date
▪ RMNs Uploaded - PMCs - Yearly, Monthly, Last 20, 10, 5 Business
Days
▪ RMNs Uploaded - PMCs – Current Month
• RMNs Failure to Upload to VBMS (Actual/Average)
o RMNs Failure to Upload - Regional Offices
▪ RMNs Failure to Upload - Regional Offices to Date
▪ RMNs Failure to Upload - Regional Offices - Yearly, Monthly, Last
20, 10, 5 Business Days
▪ RMNs Failure to Upload - Regional Offices – Current Month
o RMNs Failure to Upload - BVA
▪ RMNs Failure to Upload – BVA to Date
▪ RMNs Failure to Upload - BVA - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMNs Failure to Upload – BVA - Current Month
o RMNs Failure to Upload - PMCs
▪ RMNs Failure to Upload – PMCs to Date
▪ RMNs Failure to Upload - PMCs - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ RMNs Failure to Upload - PMCs – Current Month
• OMPFs Received (Actual/Average)
o OMPFs Received to Date
o OMPFs Received – Yearly, Monthly, Last 20, 10, 5 Business Days
o OMPFs Received – Current Month
• OMPFs Converted
o OMPFs Converted to Date

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 o OMPFs Converted – Yearly, Monthly, Last 20, 10, 5 Business Days
o OMPFs Converted – Current Month
• OMPFs Uploaded to VBMS (Actual/Average)
o OMPFs Uploaded to VBMS to Date
o OMPFs Uploaded to VBMS – Yearly, Monthly, Last 20, 10, 5 Business
Days
o OMPFs Uploaded to VBMS – Current Month
• OMPFs Failed to Upload to VBMS
o OMPFs Failed to Upload to VBMS to Date
o OMPFs Failed to Upload to VBMS – Yearly, Monthly, Last 20, 10, 5
Business Days
o OMPFs Failed to Upload to VBMS – Current Month
• PMRs Received from PMR Contractor (Actual/Average)
o PMRs Received from PMR Contractor to Date
o PMRs Received – Yearly, Monthly, Last 20, 10, 5 Business Days
o PMRs Received – Current Month
• PMRs Uploaded to VBMS (Actual/Average)
o PMRs Uploaded to VBMS to Date
o PMRs Uploaded – Yearly, Monthly, Last 20, 10, 5 Business Days
o PMRs Uploaded – Current Month
• PMRs Failed to Upload to VBMS (Actual/Average)
o PMRs Failed to Upload to VBMS to Date
o PMRs Failed to Upload – Yearly, Monthly, Last 20, 10, 5 Business Days
o PMRs Failed to Upload – Current Month
• Rescan Requests – SMTS (Actual/Average)
o Rescan Requests - SMTS - Regional Offices
▪ Rescan Requests - SMTS - Regional Offices to Date
▪ Rescan Requests - SMTS - Regional Offices - Yearly, Monthly,
Last 20, 10, 5 Business Days
▪ Rescan Requests - SMTS – Regional Offices – Current Month
o Rescan Requests – SMTS - BVA
▪ Rescan Requests – SMTS – BVA to Date
▪ Rescan Requests – SMTS - BVA - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ Rescan Requests – SMTS - BVA - Current Month
o Rescan Requests – SMTS - PMCs
▪ Rescan Requests – SMTS – PMCs to Date
▪ Rescan Requests – SMTS - PMCs - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ Rescan Requests – SMTS - PMCs – Current Month
• Rescan Requests Unresolved – SMTS (Actual/Average)
o Rescan Requests Unresolved – SMTS - Regional Offices
▪ Rescan Requests Unresolved – SMTS - Regional Offices to Date
▪ Rescan Requests Unresolved – SMTS -Regional Offices - Yearly,
Monthly, Last 20, 10, 5 Business Days

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 ▪ Rescan Requests Unresolved – SMTS - Regional Offices – Current
Month
o Rescan Requests Unresolved – SMTS - BVA
▪ Rescan Requests Unresolved – SMTS - BVA to Date
▪ Rescan Requests Unresolved – SMTS -BVA - Yearly, Monthly, Last
20, 10, 5 Business Days
▪ Rescan Requests Unresolved – SMTS - BVA – Current Month
o Rescan Requests Unresolved – SMTS - PMC
▪ Rescan Requests Unresolved – SMTS - PMC to Date
▪ Rescan Requests Unresolved – SMTS - PMC - Yearly, Monthly,
Last 20, 10, 5 Business Days
▪ Rescan Requests Unresolved – SMTS - PMC – Current Month
• Rescan Requests Resolved – SMTS (Actual/Average)
o Rescan Requests Resolved – SMTS - Regional Offices
▪ Rescan Requests Resolved – SMTS - Regional Offices to Date
▪ Rescan Requests Resolved – SMTS - Regional Offices - Yearly,
Monthly, Last 20, 10, 5 Business Days
▪ Rescan Requests Resolved – SMTS - Regional Offices – Current
Month
o Rescan Requests Resolved – SMTS - BVA
▪ Rescan Requests Resolved – SMTS - BVA to Date
▪ Rescan Requests Resolved – SMTS - BVA - Yearly, Monthly, Last
20, 10, 5 Business Days
▪ Rescan Requests Resolved – SMTS - BVA – Current Month
o Rescan Requests Resolved – SMTS - PMC
▪ Rescan Requests Resolved – SMTS - PMC to Date
▪ Rescan Requests Resolved – SMTS - PMC - Yearly, Monthly, Last
20, 10, 5 Business Days
▪ Rescan Requests Resolved – SMTS - PMC – Current Month
• Rescan Requests – RMN (Actual/Average)
o Rescan Requests – RMN - Regional Offices
▪ Rescan Requests – RMN - Regional Offices to Date
▪ Rescan Requests – RMN - Regional Offices - Yearly, Monthly, Last
20, 10, 5 Business Days
▪ Rescan Requests – RMN - Regional Offices – Current Month
o Rescan Requests – RMN - BVA
▪ Rescan Requests – RMN – BVA to Date
▪ Rescan Requests – RMN - BVA - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ Rescan Requests – RMN - BVA - Current Month
o Rescan Requests – RMN - PMCs
▪ Rescan Requests – RMN – PMCs to Date
▪ Rescan Requests – RMN - PMCs - Yearly, Monthly, Last 20, 10, 5
Business Days
▪ Rescan Requests – RMN - PMCs – Current Month
• Rescan Requests Unresolved – RMN (Actual/Average)

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 o Rescan Requests Unresolved – RMN - Regional Offices
▪ Rescan Requests Unresolved – RMN - Regional Offices to Date
▪ Rescan Requests Unresolved – RMN - Regional Offices - Yearly,
Monthly, Last 20, 10, 5 Business Days
▪ Rescan Requests Unresolved d – RMN - Regional Offices –
Current Month
o Rescan Requests Unresolved – RMN - BVA
▪ Rescan Requests Unresolved – RMN - BVA to Date
▪ Rescan Requests Unresolved – RMN -BVA - Yearly, Monthly, Last
20, 10, 5 Business Days
▪ Rescan Requests Unresolved – RMN - BVA – Current Month
o Rescan Requests Unresolved – RMN - PMC
▪ Rescan Requests Unresolved – RMN - PMC to Date
▪ Rescan Requests Unresolved – RMN - PMC - Yearly, Monthly, Last
20, 10, 5 Business Days
▪ Rescan Requests Unresolved – RMN - PMC – Current Month
• Rescan Requests Resolved – RMN (Actual/Average)
o Rescan Requests Resolved – RMN - Regional Offices
▪ Rescan Requests Resolved – RMN - Regional Offices to Date
▪ Rescan Requests Resolved – RMN - Regional Offices - Yearly,
Monthly, Last 20, 10, 5 Business Days
▪ Rescan Requests Resolved – RMN - Regional Offices – Current
Month
o Rescan Requests Resolved – RMN - BVA
▪ Rescan Requests Resolved – RMN - BVA to Date
▪ Rescan Requests Resolved – RMN -BVA - Yearly, Monthly, Last
20, 10, 5 Business Days
▪ Rescan Requests Resolved – RMN - BVA – Current Month
o Rescan Requests Resolved – RMN - PMC
▪ Rescan Requests Resolved – RMN - PMC to Date
▪ Rescan Requests Resolved – RMN - PMC - Yearly, Monthly, Last
20, 10, 5 Business Days
▪ Rescan Requests Resolved – RMN - PMC – Current Month
Turnaround Time (TAT) Report (National, District, and RO): The TAT report
provides a comprehensive listing, per regional office, of overall TAT times for the File
Conversion Services Contractor. The Contractor’s solution shall include the capability to
create the TAT Report at the National (VBA), VBA District Office, and Regional Office
levels. Regardless of the level of reporting, the report shall include only those offices
aligned to the requesting level. Also included are actual and average days to upload on
5, 10, and 20 business days prior to the current date as well as average TATs for the
past 5, 10, and 20 business days. The report provides a snapshot of TAT for each stage
of the File Conversion Services processes including, but not limited to, date received,
date prepared, date scanned, date indexed, date of QA&M, and date made available to
VBMS. The report calculates TAT for the File Conversion Services Contractor, TAT for
each regional office, each district office, and overall TAT.

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The Contractor’s solution shall support the creation of a TAT Report and include at a
minimum the following data elements:
• Valid “as of” Date
• Date Range
• RMN Turnaround Time (Actual/Average)
o Turnaround Time (Shipment through Upload Initiated to VBMS)
o Turnaround Time – Yearly, Monthly, Last 20, 10, 5 Business Days
(Shipment through Upload Initiated to VBMS)
o Turnaround Time – Current Month (Shipment through Upload Initiated to
VBMS)
• RMN Conversion Vendor Turnaround Time (Actual/Average)
o Conversion Vendor Turnaround Time (From Receipt through Upload
Initiated to VBMS)
o Conversion Vendor Turnaround Time – Yearly, Monthly, Last 20, 10, 5
Business Days (From Receipt through Upload Initiated to VBMS)
o Conversion Vendor Turnaround Time – Current Month (From Receipt
through Upload Initiated to VBMS)
• OMPF Turnaround Time (Actual/Average)
o Turnaround Time (From Shipment through Upload Initiated to VBMS)
o Turnaround Time – Yearly, Monthly, Last 20, 10, 5 Business Days (From
Shipment through Upload Initiated to VBMS)
o Turnaround Time – Current Month (From Shipment through Upload
Initiated to VBMS))
• OMPF Conversion Vendor Turnaround Time (Actual/Average)
o Conversion Vendor Turnaround Time (From Receipt through Upload
Initiated to VBMS)
o Conversion Vendor Turnaround Time – Yearly, Monthly, Last 20, 10, 5
Business Days (From Receipt through Upload Initiated to VBMS)
o Conversion Vendor Turnaround Time – Current Month (From Receipt
through Upload Initiated to VBMS)

Document Type Frequency Report: The Document Type Frequency Report provides
detailed counts and percentages of frequency for each document type converted and
uploaded to VBMS. Included in this report shall be the Document Type, its associated
VA taxonomy form number, and the capability to drill down by document source (e.g.,
RO, BVA, PMC, etc.). The report shall include image count profiles detailing total
number of images per document type and actual, average, minimum, and maximum
image counts.
The Contractor’s solution shall support the creation of a Document Type Frequency
Report and include at minimum the following data elements for each document type:
• Valid “as of” Date
• Date Range
• Taxonomy Form Number
• Taxonomy Document Name
• Document Count

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 • Document Frequency
• Document Source
• Total Image Count
• Average Image Count Per Document
• Minimum Image Count Per Document
• Maximum Image Count Per Document

Source Material Tracking Report: The Source Material Tracking Report provides
detailed information on all source material statuses and location. The reporting solution
shall include the capability to create the Source Material Tracking Report at the National
(VBA), VBA District Office, and RO levels. Regardless of the level of reporting, the
report shall include only those offices aligned to the requesting level.
The Contractor’s solution shall support the creation of a Source Material Tracking
Report and include at minimum the following data elements:
• Valid “as of” Date
• Date Range
• Counts and statuses by VA’s national carrier tracking number, RMN, DCS
metadata, doc type, and number of images. Minimum parameters shall include
Time Period, Sending Location, or Sending Location.
In addition to the predefined reports, the ICMHS Contractor shall work with the
Government to identify the necessary data elements to support the creation of the
following detailed reports:
• Failure to Upload Report
• Exceptions Report
• Reconciliation Report - Detail
• Reconciliation Report - Summary
• Production Snapshot
• Shipped – Pending Receipt
• OMPF Report Detail
• OMPF Report Summary
• Returned Shipments Report
• Unscannable Material Report
• Shipping and Receiving Activity Report
• Rescan Report
• Damaged Boxes Report
• Best Copy Available Report
The Contractor’s system shall also track metrics to provide the COR with information to
support decision-making on VA’s overarching document conversion operations. Metrics
include statistics reflecting:
• Composition of source materials
• Frequency each document type is encountered in the source material
• Number of images associated with each document type

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 • Distribution of source materials between typed and handwritten
• Number of images converted to Searchable PDF
Contractor data supporting the development of these detailed reports shall include
dates and/or times source materials were placed in specific statuses, as well as
associated actions taken.
Abbreviations for data elements are acceptable; however, when used the Contractor
shall include a clear definition for each abbreviation used.

In addition to supporting the creation of the reports above, the Contractor shall develop
a limited number of performance-based ad hoc reports on a monthly or quarterly basis
as business needs arise. For the purposes of this PWS, “ad-hoc” reports are defined as
those occasional reports VA requires to respond, in real-time, to non-routine questions
that cannot be answered by routine reports. The Contractor shall ensure that the ad hoc
report data are current, accurate, and complete as of the date of submittal to the
Government. To the extent possible, ad-hoc reports shall be based in real-time and be
configurable to support the sorting of resulting data and data elements.
Ad hoc reports may become the basis for the creation of routine reports or data
elements for transfer over time as may be directed by the Government. The Contractor
shall develop an ad-hoc report request template to be utilized by the Government when
requesting ad-hoc reports. All ad-hoc report requests will be initiated via the assigned
COR and will include a formalized request with detailed parameters. The Contractor
should anticipate no more than 10 requests per month for the creation of ad hoc reports.
For the purpose of estimation, the level of effort for researching, formatting, editing, and
delivering each ad hoc report is anticipated to require no more than two (2) FTE for two
(2) days.
Deliverables:
A. Graphical Self-Service Report Generation Capability
B. Ad-hoc report request template
C. Requested ad-hoc reports estimated at no more than 10 per month
5.15 Integration/Setup/Test/Validation
The Contractor shall perform the setup, testing, and validation of the initial File
Conversion Services. The Contractor shall ensure that all service specific setup, testing,
and validation procedures are fully documented and complete.
The Contractor shall create and utilize development and test environments that will
interconnect appropriately with Government and other Contractor created environments
for testing of all services being acquired prior to implementation into the Production
environment. The Contractor shall create and deliver to the Government a graphical
representation of the environmental mapping. The Contractor shall establish and test
work flows, business rules, policy definitions, and permissions progressing from lower
level environments up through higher level environments mapped to the appropriate
Government environments.

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Following the internal testing and validation, the Contractor shall conduct integration
testing and validation as described in Tasks 5.15.1 through 5.15.3, and Optional Task
5.15.4, upon exercising of the optional task.
Rollout of File Conversion Services into the production environment shall be
implemented as a phased approach for all file conversion services users and shall be
detailed in all planning documents including regression testing and service rollback
contingency plans. Such phased rollouts shall be implemented for any service updates
and not be limited to initial capabilities.
Within 30 calendar days post-implementation of the file conversion services, the
Contractor shall validate its solution has been properly configured and integrated with
Government and any Government Contractor system(s) as described in this PWS.
The Contractor shall support the establishment and testing of file conversion services
work flows, business rules, policy definitions, and permissions.
The Contractor shall support testing for VBMS service updates as well as for any file
conversion services routine and emergency service updates.
Deliverables:
A. Contractor/Government Environmental Map
5.15.1 Setup, Test, and Validation of File Conversion Services
The Contractor shall establish and test the File Conversion Services, including the
integration between internal components, and validation the solution has been properly
executed and is ready for external integration testing. The Contractor shall develop a
Test Strategy, Test Plan (including procedures, scenarios, scripts and acceptance
criteria), Test Data, and Final Post-Implementation Test Report. Within five (5) calendar
days following successful external system integration testing, the Contractor shall
validate its solution has been completely executed and is production ready.
Deliverables:
A. Test Strategy
B. Test Plan (including procedures, scenarios, scripts, and acceptance criteria)
C. Test Data
D. Final post-implementation test report
5.15.2 Integration, Setup, Test, and Validation with VBMS
The Contractor shall establish (provide the connections, including data circuits) and test
interfaces with VBMS. The Contractor shall develop a Test Strategy, Test Plan
(including procedures, scenarios, scripts and acceptance criteria), and Final Post-
Implementation Test Report. Within five (5) calendar days following successful
completion of integration and testing with VBMS, the Contractor shall validate its
solution has been properly executed and is production ready.
Deliverables:
A. Integration Plan

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 B. Test Strategy
C. Test Plan (including procedures, scenarios, scripts, and acceptance criteria)
D. Test Data
E. Final post-implementation test report
5.15.3 Integration, Setup, Test, and Validation with RMS Vendor System(s)
The Contractor shall establish (provide the connections, including data circuits) and test
interfaces with the Governments’ RMS Vendor system(s). The Contractor shall develop
a Test Strategy, Test Plan (including procedures, scenarios, scripts and acceptance
criteria), Test Data, and Final Post-Implementation Test Report for any RMS Contractor
system. Within five (5) calendar days following successful completion of integration and
testing with RMS Contractors’ system(s), the Contractor shall validate its solution has
been properly executed and is production ready.
Deliverables:
A. Integration Plan
B. Test Strategies
C. Test Plans (including procedures, scenarios, scripts, and acceptance criteria)
D. Test Data
E. Final post-implementation test reports
5.15.4 Integration, Setup, Test and Validation with future RMS Vendor System(s)
(Optional Task)

The current RMS contracts are expected to expire in 2020. Following recompete of
those contracts, the Contractor shall establish (provide the connections, including data
circuits) and test interfaces with any new RMS Vendor system(s). The Contractor shall
develop a Test Strategy, Test Plan (including procedures, scenarios, scripts and
acceptance criteria), and Final Post-Implementation Test Report. Within five (5)
calendar days following successful completion of integration and testing with the new
RMS Contractors’ systems, the Contractor shall validate its solution has been properly
executed and is production ready.
Deliverables:
A. Integration Plan
B. Test Strategies
C. Test Plans (including procedures, scenarios, scripts, and acceptance criteria)
D. Test Data
E. Final post-implementation test reports
5.16 Configuration Management Services
The Contractor shall create, adopt, and execute a robust configuration management
capability that assists in the effective operation of the File Conversion Service and the
integration with the other Contractor and Government systems and operations.

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The Contractor’s configuration management processes shall be used to identify
configuration items (CIs), provide for effective change of item controls, promote CI
testing, and demonstrate effective control over changes and updates to a configuration
baseline of capabilities.
The Contractor shall identify all necessary tools to support configuration management
services and promote version control of CIs and related File Conversion capabilities.
The Contractor shall describe this capability, processes, and tools in a Configuration
Management Plan.
Deliverables:
A. Configuration Management Plan
5.17 Service Updates
The Contractor should anticipate routine Government-initiated system/service updates
monthly with potential impacts to the Contractors’ File Conversion Service. The
Contractor should also anticipate less frequent emergency system/service updates. The
Contractor shall provide support for routine and emergency service updates where
those updates involve the Contractors’ File Conversion Services. The Contractor shall
utilize procedures established in Task 5.15, Integration/Setup/Test/Validation, in support
of this task. Service updates include but are not limited to approved changes to:
• Interfaces with Government system(s)
• VBMS document taxonomy
• Data extraction
• Data access service and data transfer
For planning purposes, the VA anticipates monthly service updates and two (2)
emergency service updates for each period of performance. The CCB has approval
authority over proposed changes and the assignment of changes to a particular service
update, as described in Section 5.1.5, Change Control Support.
Deliverables:
A. Routine monthly service updates during the base period and each option period
B. Emergency service updates during the base period and each option period
5.18 Training
The Contractor shall develop and perform initial training for an estimated 100 VA
identified users in the use of the:

• Source Material Tracking Service (SMTS)

• Graphical Self-Service Report Generator Tool
• Enterprise Change Management, Risk/Issue Tracking Tool
The Contractor’s training shall support in-person or virtual sessions. Initial training
delivery may be recorded during live delivery to VA; pre-recorded initial training is not
acceptable, unless specifically request by the Government. The Contractor shall
develop and submit to the Government for review training manuals, exercises, training
documentation, and/or training aids as required for supporting training activities. The
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Contractor shall also develop an accompanying electronic User Manual that VA will
subsequently make available to new users. The electronic User Manual shall be
delivered along with the training manual.
The Contractor shall revise the User Manual, including the accompanying electronic
User Manual, as substantial changes are made to the solution and include in their
proposal the planned promulgation, distribution, and implementation procedures for
updated User Manuals. The Contractor shall submit a detailed training plan with
timelines and schedules, sufficiently detailed to identify user training plans, and that
provides for ongoing updates as services are updated.
Deliverables:
A. Detailed Training Plan
B. Training Manual
C. Electronic User’s Manual

5.19 Transition of Historical Data

5.19.1 Transition-In
The Contractor shall transition-in data from existing Government TO processes and/or
other Government databases. As data is received, the Contractor shall aggregate and
make it available and searchable. Data transition is anticipated from:

• Existing ICMHS Contractors systems

• Future Government/Government Contractor systems
The exact format and nomenclature of this data varies, dependent on the system used,
and is therefore not explicitly defined in this PWS. However, all transitioned data shall
be in an un-editable but searchable format.
Following TO award, the Government will facilitate meetings between the File
Conversion Services Contractor and IT/data representatives from each of the existing
ICMHS and DMHS TO Contractors to define existing system data attributes, elements,
method of transfer, and volumes for transition. The Contractor shall then establish a
detailed transition-in plan for transitioning data, including any required data
transformation, from each of the Contractors’ production systems detailing dates, tasks,
milestones, dependencies, resources, risks and risk management strategy, tools, and
data/data structure to be transitioned.
Deliverables:
A. Detailed Transition-In Plan
5.19.1.1 Transition-In SMTS Historical Data from ICMHS Contractors

The Contractor shall receive transition-in data from existing Government ICMHS TO
Contractor supporting the ICMHS Contractor SMTS solution.

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5.19.1.2 Transition-in Other (Recurring Optional Task)

Throughout the performance of this TO, the Government anticipates the Contractor will
be required to transition-in data from other Government/non-Government
systems/services supporting VBA business processes. The Government will notify the
Contractor in advance of its intent to exercise this optional task.
5.19.2 Transition – Out
The Contractor shall establish a detailed transition plan for transitioning data and
operations from Contractor’s production system detailing dates, tasks, milestones,
dependencies, resources, risks and risk management strategy, tools, data, processes,
detailed specifications of all commercial-off-the-shelf products, format and methods for
utilizing the business rules, and the configuration files or customizations that have been
funded under this TO to meet the requirements of this PWS.
At the end of the period of performance, the Contractor shall support the transition from
the file conversion production system to VA or its designated agent including all
requirements of this PWS to support VA in future file conversion efforts. The Contractor
shall deliver all VA business rules developed to aid in the operation of the file
conversion services. The exact format and nomenclature of this data varies, dependent
on the system used, and is therefore not explicitly defined in this PWS.
Deliverables:
A. Detailed Transition Plan for transitioning operations from File Conversion
Services system
B. Business rules and configuration files or Commercial off the Shelf (COTS)
customizations
5.20 Data Access Service (DAS) (Optional Task)

The Contractor shall provide VA access to all File Conversion Services data and all data
points contained therein by granting VA’s Enterprise Data Warehouse access to the
Contractor’s database where File Conversion Services data is stored. The Contractor
shall additionally ensure that VA can access and transfer the data to its own database
on a nightly basis for further analysis and reporting. The Contractor shall provide
technical support for any file failures resulting from data transfers and for any data
anomalies identified. The Contractor shall ensure maximum data integrity to include
among other items, all data fields are correctly populated, and all leading zeros remain
intact. The Contractor shall provide a complete data dictionary to VA including all source
production data, table structures, data definitions and relational diagrams. The
Contractor shall ensure the data dictionary clearly indicates primary and foreign keys as
well as triggers for status indicators. The Contractor shall update the data dictionary as
necessary and provide the updated version to VA in a timely fashion.

Although the aforementioned connection methodology is preferred, VA is also capable

of creating a connection to the Contractor’s server using Informatica, provided the
Contractor creates an Extract Transfer and Load account for VA.

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Deliverables:

A. Data Access Service with integrated data connection to VA and associated ICD
B. Data Dictionary

5.21 Source Material Extraction (Recurring Optional Task)

In its efforts to continue moving to a more paperless processing environment, the

Government is considering extracting and converting records currently housed in long-
term record storage facilities (e.g., VA Record Center and Vault (RC&V) and other
National Archives and Records Administration (NARA) Federal Records Centers
(FRC)). File extraction will require the Contractor to deploy resources to designated
Government facilities to retrieve, pack, track, and ship source materials to the
Contractor’s facility for processing. The Contractor will be authorized to perform a site
visit at any facility from which the Contractor will be required to extract materials. Site
visits will support the Contractor in the development of their proposal for executing the
Source Material Extraction optional task. The Contractor will be responsible for
ascertaining all logistical and material handling equipment needs applicable for each
facility as a part of their proposal. The Contractor shall, upon notification, provide a
proposed schedule and Work Breakdown Structure corresponding to each identified site
within 10 calendar days after a site is awarded and prior to starting work at the site. The
Contractor shall utilize Attachment S, Records Center and Vault Shipment
Consolidation BRD, in the development of all plans and the performance of this task.

Based on the complexities and anticipated volumes of materials extracted, and the
movement of materials from a Government facility to a Contractor facility, the Contractor
shall propose a solution for material tracking such as Radio-Frequency Identification
(RFID) or similar technology based on industry best practices. Upon Government
approval, the Contractor shall deploy the solution prior to removal of materials from the
VA facility.

Based upon the Government site and the materials to be extracted, file extraction will
include the following general activities:

• Taking receipt of source materials

• Government system actions/updates
o Creation of VBMS Manifests/Document Control Sheets
o Creating a Shipment
o Updating VBMS Manifest/DCSs
o Update Government tracking system
• Boxing and Shipping
• Receipt at the contractor facility
• Shipping, File and Record exception processing
The Government will notify the contractor in advance of its intent to exercise this
optional task. The Government will also provide detailed extraction requirements and
any established SOPs based on the materials to be extracted.

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For each identified facility, the Contractor shall consider in their planning the following
general requirements:
• The Contractor shall coordinate and provide all transportation necessary to
relocate source materials
• The Contractor shall utilize vehicles suitable for the transportation of records
• Vehicles shall have appropriate security features (e.g., anti-theft devices) and
shall remain secured while unattended during transport of source materials
• The vehicles shall be equipped with fire suppression capabilities to extinguish
vehicle fires while records are aboard
• All Contractor vehicles utilized in this TO shall be insured and maintain current
state vehicle registration
• The Contractor shall ensure all vehicle operators possess a valid State Driver’s
license with any necessary endorsements for operating the Contractor’s vehicles
as well as ensuring drivers have undergone appropriate Background
Investigations as described in Section 4.6, Security and Privacy, of this PWS
• The Contractor and the Contractor’s employees shall not use personal vehicles
in the performance of this TO
• In preparation of shipping, boxes shall be arranged for transport in a manner that
prevents damage or other deterioration of boxes and source material
• Once relocated, source materials shall be stored in a manner that prevents
damage or other deterioration
• Relocation of source materials shall be tracked and traceable at all times (point-
to-point tracking and verification) in the Contractor’s Source Material Tracking
Service
• The Contractor shall replace any boxes damaged during shipment Contractor’s
facility
• Replacement boxes shall be consistent with the damaged box, which generally
are boxes with National Stock Number (NSN) 8115-00-117-8249
• The Contractor shall ensure the Government can accurately track the shipping
status and source material contents of all boxes shipped

5.22 Blue Water Navy Deck Logs (Optional Task)

In January 2019, the U.S. Court of Appeals for the Federal Circuit ruled that the intent of
Congress in the Agent Orange Act of 1991 was to extend benefits to all Veterans who
served within the territorial waters of Vietnam. To determine the eligibility for Veterans
whose ships had navigated the territorial waters of Vietnam the VA requires identifying
which ships of the US Navy and Coast Guard came within those waters and the
corresponding dates of such transits. To accomplish this identification the VA is
coordinating with NARA to retrieve the deck logs of approximately 750 ships from the
US Archives, digitally convert the materials, extract the data pertinent to the ships
positioning during specific timeframes, and provide to VA the extracted data and
converted images.
The Contractor shall provide services directly related to retrieving, transporting,
converting, and otherwise processing and returning identified materials from and to the

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NARA archive facility in College Park, MD. Specifically, the Contractor shall provide
services that include (but are not limited to):
• Planning for shipments from College Park
• Preparation for shipping of materials from College Park
• Shipping of materials to the file conversion facility
• Receipt of materials at the file conversion facility
• Material preparation for scanning
• Conversion of materials
• De-prep of scanned materials
• Short term storage of materials
• Data extraction
• Data to PA&I
• Quality Control
• Preparation for shipping of materials to College Park
• Shipping of materials to College Park
• Receipt of materials at College Park

5.22.1 Planning for Shipments from College Park

The Contractor shall coordinate with VA and NARA in the performance of activities
associated with shipments of materials including:

• Specific boxes of materials prioritized for each shipment

• Procurement and staging of shipping materials (labels/pallets/wrappings/etc.)
• Personnel requirements and training
• Facility access requirements
• Ingest of NARA database extract from Asset ID for NARA bar coded container
information
• Contingency planning for vehicles while enroute

NARA will extract information from the NARA database (Asset ID) for each of the
existing bar codes on the boxes and will make that information available to the
Contractor in an Excel spreadsheet. NARA will also provide written guidelines for
materials handling and will provide on-site representation at the Contractor conversion
facility during the first two weeks of conversion activities.

5.22.2 Preparation of Materials for Shipping from College Park

The Contractor shall prepare all materials provided by NARA for each shipment
including:

• Handling of materials (training staff as required in NARA policies and procedures

for materials handling and management)
• Inventory of box contents
• Coordinating the de-binding of deck logs by NARA personnel as required
• Bar code labels applied to folders and boxes
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 • Packing / palletizing / wrapping
• Manifests created (boxes/pallets)
• Update of Contractor materials tracking system
• QC validation and formal acceptance of materials from NARA

5.22.3 Shipping of Materials to the File Conversion Services Facility

The Contractor shall provide for secure shipping of all materials accepted from NARA
and shall provide for same day, non-stop delivery to the Contractor’s file conversion
facility including:

• Vehicle manifests
• Loading of vehicles
• Dual cleared drivers
• Same day loading and unloading including non-stop delivery
• Planned routes with identified alternates as required
• Vehicle tracking
• Incident reporting

5.22.4 Receipt of Materials at the File Conversion Services Facility

The Contractor shall receive and unload the vehicles at the Contractor’s File Conversion
Services facility on the same day they arrive. The Contractor shall validate all manifests
(vehicle/pallet/box/etc.), update the materials tracking system, and securely store all
materials while awaiting preparation for conversion.

5.22.5 Material Preparation for Scanning

The Contractor shall prepare the materials for conversion in accordance with Task 5.#,
Source Materials Preparation as general guidance, with any deviations defined in the
Deck Logs BRD. The Contractor shall provide and utilize Mylar sleeves for the
conversion of any damaged pages encountered in all Deck Logs. The Government will
provide the prioritization details to the Contractor for the sequencing of the materials
being converted, and the Contractor shall remain flexible in the event the Government
requires some level of change in sequence prioritization.

5.22.6 Conversion of Materials

The Contractor shall comply with the DCRs, Task 5.#, Source Materials Conversion
(except as identified), and any written guidance specific to this task as provided by the
Government. The Contractor shall imprint no markings of any sort on any of the deck
log materials and shall verify to the Government that any imprint capabilities on the
scanning systems have been disabled prior to the initiation of conversion activities for
this task. “Priority deck logs” are defined as the deck logs for the Navy ships that have
confirmed Vietnam War service.

5.22.7 De-Prep of Scanned Materials

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Following conversion activities, the Contractor shall re-assemble the deck log pages in
the same order they were originally found when removed from the folders. Damaged
pages will remain in the Mylar sleeves in which those deck log pages were placed
during the preparation stage.

Following conversion, the deck logs will be returned to the same folders in the same
order they were originally found and returned to the same box from which the folders
were originally removed. This retains the integrity of the information in the NARA Asset
ID inventory system.

5.22.8 Short-Term Storage of Materials

After de-prep, the Contractor shall securely store the boxes of converted deck logs
pending completion of extraction and Quality Control procedures. This short-term
storage is anticipated to be 30 – 45 days after conversion.

5.22.9 Data Extraction

The Contractor shall extract specific information from the deck logs associated with
each ship as defined in Attachment R, Scanning of NARA Deck Logs in Support of Blue
Water Navy Business Requirements Document.

5.22.10 Data To PA&I

The Contractor shall provide the images and data extracted in tasks 5.27.6 Conversion
of Materials and 5.27.9 Data Extraction, to PA&I in accordance with Attachment R,
Scanning of NARA Deck Logs in Support of Blue Water Navy Business Requirements
Document.

5.22.11 Quality Control

The Contractor shall provide for Quality Control activities in accordance with Attachment
R, Scanning of NARA Deck Logs in Support of Blue Water Navy Business
Requirements Document.

5.22.12 Preparation for Shipping of Materials to College Park

The Contractor shall prepare all materials for each shipment back to NARA including:

• Handling of materials
• Inventory of box contents
• Packing/palletizing/wrapping
• Manifests created (boxes/pallets)
• Update of Contractor materials tracking system
• QC validation

5.22.13 Shipping of Materials to College Park

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The Contractor shall provide for secure shipping of all materials being shipped from the
file conversion facility and shall provide for same day, non-stop delivery to the NARA
facility in College Park, MD including:

• Vehicle manifests
• Loading of vehicles
• Dual cleared drivers
• Same day loading and unloading including non-stop delivery
• Planned routes with identified alternates as required
• Vehicle tracking
• Incident reporting

5.22.14 Receipt of Materials at College Park

The Contractor shall be present at the NARA College Park facility to unload the vehicles
on the same day they arrive. The Contractor shall validate all manifests
(vehicle/pallet/box/etc.), update the materials tracking system, de-palletize the boxes,
and formally deliver the boxes to NARA. The contractor shall remove all pallets and
shipping materials from the NARA facility used in the transportation of the deck log
boxes.

5.23 VBMS Document Retrieval and Bulk Data Extraction (Recurring Optional
Task)

To assist with automated claims processing, VA requires bulk data extraction to be

performed on standard forms and other documents that currently reside within the
Veterans Benefits Management Service (VBMS) eFolder.

The Contractor shall provide bulk data extraction services on documents maintained
within the VBMS eFolder. VA will provide the Contractor with a list of documents along
with the required fields on which to perform data extraction. These documents may be
either standard forms (e.g., VA Form 21P-534) and/or non-standard forms (e.g., state
death certificates, VA correspondence). In order to retrieve the documents for bulk data
extraction, the Contractor shall connect to a VBA managed webservice (e.g. *eFolder
Service). Once retrieved, the Contractor shall extract the specified data from each
document ensuring data extraction quality meets or exceeds the required data
extraction quality. Post data extraction, the Contractor shall provision the data to VA via
a Benefits Data Process Service in either batches or on a transaction basis.

As VA intends to utilize this service for multiple document types in support of special
missions, the bulk data extraction service shall be configured to be a repeatable
process to enable rapid initiation of data extraction.

The Contractor shall utilize Attachment T, Pension Automation Data Extraction,

Business Requirements Document, as the initial set of requirements for developing this
capability.

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Deliverables:

A. Establish bi-directional connect to VBMS to enable the export of documents from

the VBMS eFolder
5.24 Option Periods

If the Option Period(s) are exercised by VA, the Contractor shall continue to perform
tasks 5.1 through 5.12, 5.14 through 5.19, and all subsections and provide all requested
deliverables. The Government reserves the right to exercise Optional Tasks 5.13, and
5.20 through 5.23 at the time of award.

6.0 General Requirements

6.1 Communicating with the Government

The Contractor shall communicate with the Government on the VA network, with a VA
account, using VA systems, encrypted email when required, and using video
conferencing (Skype is the current VA video conferencing technology), and Slack.

6.2 508 Compliance

The Contractor shall ensure the File Conversion Services SMTS allows Federal
employees with disabilities to have access to and use of information and data that is
comparable to the access to and use of information and data by Federal employees
who are not individuals with disabilities, unless an undue burden would be imposed on
the agency. General 508 guidelines can be found via the website below:

https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-
the-ict-refresh/final-rule/text-of-the-standards-and-guidelines

Deliverables:

A. Final Section 508 Compliance Test Results

6.3 Authentication Methods and requirements

The Contractor’s SMTS shall include authentication procedures for Contractor and VA
resources authorized to access, view, and edit available tracking information and
metadata including one (1) of the VA approved authentication methodologies as
outlined by the Identity, Credential, and Access Management (ICAM) Program
Management Office which allows trusted users access to VA services via their VA
Personal Identity Verification (PIV) badge.

6.4 Methods and Distribution of Deliverables

The Contractor shall deliver documentation in electronic format, unless otherwise

directed in Section B of the solicitation/contract. Acceptable electronic media include:

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 • MS Word 2010/2013/2016
• MS Excel 2010/2013/2016
• MS PowerPoint 2010/2013/2016
• MS Project 2010/2013/2016
• MS Access 2010/ 2013/2016
• MS Visio 2010/2013/2016
• Adobe Portable Document Format (PDF) version 2019 or later

6.5 Performance Metrics

At the end of each assessment period, the assessment will be reviewed by the Program
Manager and CO. The COR/CO will notify the Contractor of the results no later than 15
calendar days after the end of the assessment period. The COR will perform quarterly
assessments. The Performance Based Service Assessment Survey (PBSA), or other
method, may be used to document this assessment.
The table below defines the Performance Metrics associated with this effort.

Acceptable
Performance
Performance Standard Performance
Objective
Levels
1. Shows understanding of
requirements
2. Efficient and effective in
meeting requirements
A. Technical Satisfactory or
3. Meets technical needs
Needs higher
and mission
requirements
4. Offers quality
services/products
1. Quick response
capability/understands
urgency of need
B. Project 2. Products completed,
Satisfactory or
Milestones reviewed, delivered in
higher
and Schedule timely manner
3. Notifies customer in
advance of potential
problems
1. Currency of expertise
2. Personnel possess
C. Project Satisfactory or
necessary knowledge,
Staffing higher
skills and abilities to
perform tasks
1. Provided valuable Satisfactory or
D. Value Added
service to Government higher

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 2. Services/products
delivered were of
desired quality

The Government will utilize a Quality Assurance Surveillance Plan (QASP) throughout
the life of the TO to ensure that the Contractor is performing the services required by
this PWS in an acceptable manner. The Government reserves the right to alter or
change the QASP at its own discretion. A Performance Based Service Assessment
Survey will be used in combination with the QASP to assist the Government in
determining acceptable performance levels. The COR will determine if the performance
of the Contractor is below a metric standard and deem it unacceptable. The COR will
then notify the Contracting Officer.
6.6 Quality Control Plan
The Contractor is responsible for the quality of all work performed. The Contractor
measures that quality through the Contractor’s own Quality Control (QC) program. All
work performed under this TO, regardless of whether the work is performed by
Contractor employees or by Subcontractors, shall be subject to QC review. The
Contractor shall develop and maintain its own internal Quality Control Plan to ensure all
required services are performed in accordance with the TO terms and conditions, as
well as the delivery schedule timelines stated in the Performance Work Statement. The
Contractor shall develop and implement procedures in their plan that identify, prevent,
and ensure non-recurrence of marginal performance. The Contractor shall be
responsible for making required changes in processes and practices to ensure
performance is managed effectively. The Contractor shall take corrective action when
any task associated with this TO is found to be deficient or substandard. The cost of
correction is to be borne by the Contractor.

The Quality Control Plan shall include, but is not be limited to the following:
• The Contractor’s method of early detection and correction of marginal quality
of service, to include corrective action records (including customer complaints)
in order to determine causes of deficient performance. This method shall
include providing timely written explanation/documentation of the correction of
the defectiveness and correction of cause in response to Government
corrective action request.
• The Contractor’s methods for identifying and preventing deficiencies and how
the Contractor will prevent the level of performance from becoming deficient.
• The Contractor’s chart showing the organizational structure and lines of
authority, the names, qualifications, duties, responsibilities, and classification
of each member of the Contractor’s Quality Control Team.
• How the Contractor will maintain on-site records of all inspections conducted
by the Contractor and necessary corrective action taken. This documentation
shall be made available to the Government COR during the term of the
contract.
• How the Contractor will monitor work to ensure that performance complies
with all Performance Work Statement timelines and deadlines.
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6.7 Quality Assessment and Monitoring (QA&M) Support

The Government will implement an independent, third party QA&M to:

• Validate existence and effectiveness of quality assurance procedures and

controls
• Monitor, review, and report assessment results of Contractor performance
against defined contractual standards
• Validate compliance with Business Rules, SOPs, and VA policies

The Contractor will be monitored and assessed throughout the TO period of

performance as to either meeting or not meeting the performance thresholds stated in
Section 6.5, Performance Metrics, and Section 7.0, Performance Requirements
Summary. The Government and/or its representatives will perform QA&M and Quality
Assurance Surveillance (QAS) of Contractor processes and procedures to validate that
Contractors’ processes and plans, and QC performance measurements, result in
deliverables meeting VBA quality and timeliness requirements. This surveillance
includes remote audits of program, project, and operational documents and onsite
audits of documents, processes, procedures, compliance, and operations.
Government representatives or designated agents of the Government will perform
continuous QA&M and QAS throughout the life of the TO. Post-upload QA&M will be
performed on all materials for which the Contractor has received, prepared, converted,
de-prepared (de-prep), stored, and uploaded to the Government image repository. This
would extend to any additional upload destination identified following award. Any
additional upload destination will be communicated to the Contractor once known.
Additionally, the Government/representatives will evaluate the performance of service
availability, compliance with VA source material handling and shipping procedures and
procedures for Contractor created paper documents, indexing accuracy, and data
accuracy. QA&M also includes reconciling data about document/electronic intake,
conversion, uploads to VA systems.
The Contractor shall support onsite Government QA&M activities to include but not
limited to:

• Making available program, project, and operational documents

• Providing data requested as part of onsite and remote audits
• Providing access to all source materials, images and associated metadata
• Complying with sampling methodologies or practices approved by the
Government

Within 30 calendar days of TO award, the Contractor shall provide full-time space for a
minimum of six (6) onsite Government QA&M personnel (including representatives of
VA) at each of the proposed performance sites. The Contractor shall provide the full-
time workspaces at each proposed performance site for the duration of the TO
performance period. Full-time space shall include:

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 • Computer/printer workspace
• Wired/wireless internet access with approximately 100/300 Mbps dedicated
internet access for QA&M resource usage
• One (1) phone per site for shared use by QA&M staff with outbound calling
capability
• Access to conference area for meetings utilized an estimated five (5) times per
week for an estimated one (1) hour per meeting
• Enough space for materials undergoing QA&M review (estimated at five (5)
boxes per QA&M resource)

The Contractor shall ensure that provided workspaces are located within a climate-
controlled space accessible through the same security measures as the Contractors’
employees. The Contractor shall advise the Government if it intends to use multiple
sites to perform PWS tasks, and if so, shall provide a complete listing of all sites where
performance will occur.
The Government will work closely with the Contractor to identify additional QA&M
workspaces that may be required due to increased volumes of work. The Contractor
shall, within 30 calendar days of notice, provide additional full-time space at each
affected worksite for the duration of the TO performance period.
Within 30 calendar days of TO award the Contractor shall establish a secure means of
transferring VA Sensitive Information to and from the Government and to and from the
Government’s independent QA&M service provider.
6.8 VA Resource Space

In addition to the full-time space for the minimum of six (6) QA&M resources, the
Contractor shall, within 30 calendar days from TO award, provide full-time office-space
for one (1) Government employee at each proposed performance site. Full-time office-
space for the Government employee shall include a computer workstation with chair
(does not include a computer, printer or consumables) with both network and phone
(with inbound, outbound calling capability and voicemail) access, network and phone IT
support when disruption is Contractor-related. The office-space shall be situated in a
manner allowing for uninterrupted teleconferences between the Government employee
and Government Leadership. The Contractor shall provide the full-time workspace(s) for
the duration of the TO performance period for each proposed performance site. The
Government resource shall have physical access to the facility such that reviews of any
process, from receipt through disposition, including QA&M, or reviews of any source
materials may be executed on an “at-once basis” as may be directed by the
Government. The Contractor shall ensure the provided workspace is located within a
climate-controlled space accessible through similar security measures as the
Contractor’s employees. VA personnel shall be able to exercise all required functionality
in the web-based Contractor system without the need to modify the standard VA
desktop configuration baseline.

6.9 Site Visits/Inspections

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The Government reserves the right to conduct announced or unannounced onsite site
visits/inspections of Contractor/Subcontractor facilities to ensure work is executed in
compliance with requirements of the PWS and its attachments. The inspections may
also include a review of Contractor/Subcontractor IT and other resources to ensure data
security controls are compliant with VA directive requirements. The site
visits/inspections will normally last no longer than one (1) day and may include but are
not limited to the physical inventory and inspection of source materials and resulting
data and metadata generated during the file conversion processes.
The Contractor shall cooperate with Government officials in the conduct of all site
visits/inspections. If, during the conduct of an announced or unannounced site
visit/inspection, inappropriate source material handling or inappropriate data security
procedures are discovered, a report of the finding will be provided to the Contracting
Officer and the Government Program Manager. The Contracting Officer will then notify
the Contractor.
The Contractor shall make available a conference/meeting space for use by the
Government site visit/inspection resources for the duration of any site visit/inspection.
The conference/meeting space shall be situated in a manner allowing for uninterrupted
teleconferences between the site visit/inspection team and Government Leadership.
The Contractor shall notify the Government via the COR/Government Program Manager
or designee immediately upon receiving notice of any outside agency site visit or
request for information related to any/all work related to this task order.

6.10 Service Level Agreement

The Contractor shall establish a Service Level Management Agreement (SLA) for File
Conversion Services and, in coordination with VA, provide for solution availability and
reliability within the terms of the SLA. The SLA shall include the following predefined
requirements:
• The File Conversion Services solution shall be operational and have all external
interfaces available for access to all services and reporting functions and access
to all images and associated metadata exclusive of planned, approved downtime
for maintenance 99.5% of the time.
• Any planned service periods of unavailability due to routine service updates shall
be approved by the COR at least 10 Government calendar days in advance.
• Any service periods of unavailability due to emergency service updates shall be
approved by the COR at least three (3) Government calendar days in advance
for emergency update.
• The service shall authenticate all personnel authorized to view and update
images and associated metadata in accordance with VA Common Security
Services guidelines.
Deliverables:
A. Service Level Management Agreement (SLA)

6.11 Outage/Degradation Notification

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The Contractor shall notify the COR of any planned/unplanned outages or periods of
degraded services supporting this TO as soon as they are identified. For the purposes
of this PWS, an outage is defined as any period of complete disruption or interruption of
a provided service preventing its usage. Degradation is defined as a decline in the
performance of a provided service leading to a negative impact to the normal/intended
usage of the service over an established period.

The Government will normally require After Action Reports (AAR) be submitted to the
COR within two (2) calendar days following resolution of any unplanned outages or
periods of degraded service. The Government and the Contractor will agree on a
specified duration of an outage or degraded service requiring an AAR and the reports’
required contents. Based on the severity and potential impacts an outage or period of
degraded service may have on users of the impacted service, the Contractor will
occasionally be required to provide regular (as often as hourly) updates to the
Government as to resolution progress.

VA has developed Attachment Q, VCIP Emergency Notification Standard Operating

Procedures (SOP), for use during any network/system issues affecting any Contractors
supporting the services provided in this PWS. The SOP includes Government and
Contractor emergency contact lists and establishes a clear process for Contractor-to-
Contractor and Contractor-to-VA notification during any system outages or periods of
degraded services. The SOP does not supersede the Contractor’s incident notification
requirement as documented in VA Handbook 6500 and appendices; but rather should
be used to augment those policies and enable rapid communication of emergent
notifications whenever they occur.

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7.0 Performance Requirements Summary

Applicable Required Service – Standard – Maximum Allowable Method of Remedies

PWS (Performance Degree of Deviation Surveillance
(Performance Standards)
Paragraphs – Requirements) Requirement –
(Quality
(Paragraph #) Acceptable Quality
Assurance)
Level (AQL)
Tasks, 5.1.1 File Conversion Deliverables are completed in No more than one (1) Quarterly Rework of
through 5.1.4, Services an accurate and timely late document per Performance deliverable
5.1.6, 5.3.1, deliverables: manner. Deliverables were quarter and no more Based Service
5.3.2, 5.3.2.1 documentation complete and accurate in most than five (5) calendar Assessment
5.14, and adheres to respects. days late. No more Survey – Customer
Optional standards, formats than two (2) sets of satisfaction as
Tasks as and frequency corrections required measured through
required by contained in the on any product, and customer
the PWS all corrections must be comments and
Government’s submitted within one feedback
exercise of an (1) calendar day of the
Option negotiated suspense.
5.1.5 Change Control Measures completeness of No more than one (1) 100 percent Rework of
Support support to Change Control scheduled CCB inspection of CCB process and
process including participation meeting per contract meeting minutes documentation
in CCB events and timely year without
assessments of the impacts of participation of a
proposed change requests representative with the
required authority to
make commitments on
behalf of the
Contractor.

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 Applicable Required Service – Standard – Maximum Allowable Method of Remedies
PWS (Performance Degree of Deviation Surveillance
(Performance Standards)
Paragraphs – Requirements) Requirement –
(Quality
(Paragraph #) Acceptable Quality
Assurance)
Level (AQL)
5.2 Source Material Ensures the standard is 100 percent 100 percent Rework to
Receipt maintained by the Contractor availability Inspection – restore source
to receive source materials Operational material receipt
every day (Monday through monitoring to AQL
Friday, excluding federal
holidays) directly from the
Government carrier
5.2.2 Source Materials The DCS shall correctly 99.9 percent of the Random Sampling Rework of
Received without describe the contents of the DCSs and manifests – Operational deliverable
DCS or Manifest material to which it is attached. created monitoring
The manifest shall correctly
describe the contents (DCSs)
of the container for which
created
5.3.1 Source Material Ensures compliance with all 100 percent 100 percent Liquidated
Handling established VA security compliance Inspection – damages IAW
policies to ensure that VA Operational suggest B7.
data, whether captured monitoring “Liquidated
electronically or as paper or Damages for
other source materials, are not Data Breach” in
compromised. the T4NG PWS.
5.3.2 Source Material Ensures that a system is 100 percent accuracy 100 percent Liquidated
Tracking System maintained for input, tracking, of traceability of Inspection – damages IAW
and status of all source source materials Operational suggest B7.
material. monitoring “Liquidated
Damages for
Data Breach” in
the T4NG PWS.

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 Applicable Required Service – Standard – Maximum Allowable Method of Remedies
PWS (Performance Degree of Deviation Surveillance
(Performance Standards)
Paragraphs – Requirements) Requirement –
(Quality
(Paragraph #) Acceptable Quality
Assurance)
Level (AQL)
5.4 Source Material Ensures that quality measures 99 percent accuracy Random sampling Rework to
Preparation will be used to verify restore
Validation performance levels in triage accuracy and
and processing for documents increased
fitting the rules for items not to inspection to
be scanned that are pulled restore to AQL
from the process and handled
in accordance with the DCRs.
5.5 Image Quality The Contractor shall perform 99 percent compliance Random sampling Rework to
validation of converted images with image quality restore
as necessary to attain the accuracy and
acceptable image quality level. increased
inspection to
restore to AQL
5.6 Indexing Validation Ensure the standards for VA’s 99 percent compliance Random sampling Rework to
acceptable indexing accuracy with indexing quality restore
level is maintained. VA accuracy and
considers indexing to be increased
accurate when all four of the inspection to
index values assigned to the restore to AQL
document is correct. This
standard requires the
Contractor to perform
validation of the assigned
indexing values as necessary
to validate that the acceptable
indexing accuracy level is
satisfied.

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 Applicable Required Service – Standard – Maximum Allowable Method of Remedies
PWS (Performance Degree of Deviation Surveillance
(Performance Standards)
Paragraphs – Requirements) Requirement –
(Quality
(Paragraph #) Acceptable Quality
Assurance)
Level (AQL)
5.8 De-Preparation Ensures the content of any 99 percent compliance Random sampling Rework to
requested source material with RMN quality restore
matches the contents of the accuracy and
original container or is increased
traceable to the original inspection to
container. restore to AQL
5.9 Upload Validation Maintains the standard for 99 percent compliance Random sampling Rework to
to VBMS delivery of images, indices and restore
extracted data to VBMS within accuracy and
five (5) calendar days increased
(excluding time for VA QA) inspection to
restore to AQL
5.23 Extraction Maintains the standard for 99 percent extraction Random Sampling Rework to
Validation VA’s acceptable extraction accuracy restore
accuracy. This standard accuracy and
requires the Contractor to increased
perform validation of the inspection to
extracted data as necessary to restore to AQL
validate that the acceptable
extraction accuracy level is
satisfied.
6.10 Service Level Ensures authentication of all 100 percent of the 100 percent Liquidated
Agreement VA personnel authorized to time Inspection – damages IAW
view and update images and Operational suggest B7.
associated metadata in monitoring “Liquidated
accordance with VA Common Damages for
Security Services guidelines Data Breach” in
100 percent of the time. the T4NG PWS.

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Appendix A: Acronyms

AQL Acceptable Quality Level

ATO Authority to Operate
BI Background Investigation
BRD Business Requirements Document
BVA Board of Veterans Appeals
BWN Blue Water Navy
CCB Change Control Board
CD Compact Disk
CI Configuration Item
CO Contracting Officer
COR Contracting Officer’s Representative
CONUS Continental United States
CPMP Contractor Project Management Plan
CS Contract Specialist
CY Contract Year/Calendar Year
DCII DOD Defense Central Investigations Index
DCR Document Conversion Rules
DCS Document Control Sheet/Document Conversion Services
DoD Department of Defense
DPI Dots Per Inch
eFolder Electronic Folder
FBI Federal Bureau of Investigation
FFP Firm Fixed Price
FRC Federal Records Center
GB Gigabyte
IATO Interim Authority to Operate
ICD Interface Control Document

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IDIQ Indefinite Delivery / Indefinite Quantity
ICMHS Intake, Conversion, and Mail Handling Services
ICR Intelligent Character Recognition
IMS Integrated Master Schedule
MBI Moderate Background Investigation
NAC National Agency Check
NACI National Agency Check with Written Inquiries
NAID National Association for Information Destruction
NARA National Archives and Record Administration
NPRC National Personnel Records Center
OCONUS Outside Continental United States
OCR Optical Character Recognition
OMPF Official Military Personnel File
OPM Office of Personnel Management
PDF Adobe Portable Document Format File
PDT Position Designation Automated Tool
PHI Protected Health Information
PII Personally Identifiable Information
PM Project / Program Manager
PMC Pension Management Center
PMP Project Management Plan
PMBOK Project Management Body of Knowledge
PMR Private Medical Records
PWS Performance Work Statement
QA Quality Assurance
QA&M Quality Assessment and Monitoring
QAS Quality Assurance Surveillance
QASP Quality Assurance Surveillance Plan
RC&V Records Center and Vault

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RMN Records Management Number
RMS Records Management Services
RO Regional Office
SLA Service Level Agreement
SPI Sensitive Personal Information
STR Service Treatment Record(s)
TAT Turnaround Time
T4NG Transformation Twenty-One Total Technology
T&M Time and Materials
TO Task Order
SII OPM Security Investigations Index
UPS United Parcel Service
VA Department of Veterans Affairs
VALO VA Liaison Office
VBA Veterans Benefits Administration
VBMS Veterans Benefits Management System
WBS Work Breakdown Structure

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Page 62 of 64
Appendix C: Estimated Volume Characteristics

Source Material
Service Type BP Images OP 1 Images Total Images
Conversion
RMN/DCS Source Material Paper to 83,160,000 83,160,000 166,320,000
(Includes Claim Files searchable
and STRs) PDF
OMPF Files Paper to 83,160,000 83,160,000 166,320,000
searchable
PDF
Totals 166,320,000 166,320,000 332,640,000

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